| Description: SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.The anticipated salary range for this role is between $144,000.00 and $180,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.**Role Description**SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to perform testing of its broker/dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for execution of the monitoring and testing program. This position will principally serve as a team lead for monitoring and testing engagements.The Vice President will have direct management oversight of a small team of compliance professionals to support monitoring and testing engagements to validate the efficacy of regulatory compliance internal controls. The candidate should have functional knowledge of applicable U.S. broker dealer laws and regulations with specific emphasis on FINRA and SEC rules and regulations. Additionally, a familiarity of the U.S. regulatory environment, risk identification / mitigation; and managing the workflows for monitoring and testing engagements is essential.**Role Objectives**+ Manages monitoring and testing activities for M&T Program+ Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements+ Assists in the development and refinement of monitoring and testing scripts+ Prepares information requests, announcement memoranda and Kick-Off Memos to start Compliance Reviews+ Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.+ Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.+ Identifies underlying issues and escalation / validation thereof with internal clients+ Drafts exceptions, manages factual accuracy confirmation with stakeholders and oversees the issuance of the final report to management+ Assists in the input, tracking, and validation of identified issues and corrective action plans to validate remediation efforts+ Stays abreast of changing regulatory requirements and SMBC's business model to maintain a solid foundation of the applicable regulatory framework+ Assists in the consolidation and reporting of results within local and Head Office reporting**Qualifications and Skills**+ 10+ years of prior regulatory, compl |
