Corporate Compliance Monitoring & Testing Analyst

SMBC Group is a top-tier global financial group headquartered in Tokyo, offering a diverse range of financial services. They are seeking a Compliance Monitoring & Testing Analyst to support the monitoring and testing program, primarily focusing on the New York Branch, ensuring compliance and validating internal controls.

Responsibilities

• Supports monitoring and testing activities for New York Branch
• Serves as a tester for all facets of compliance monitoring and testing engagements
• Assists in the development and refinement of monitoring and testing scripts
• Prepares information requests and announcement memoranda
• Performs assigned field work to validate the efficacy of internal controls and risk mitigants
• Assists in the compiling of comprehensive and cohesive work papers in accordance with department standards and methodology
• Helps to identify underlying issues and escalation/validation thereof with clients
• Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts
• Assists in the consolidation and reporting of results within local and Head Office reporting

Skills

• Bachelor's Degree required
• Excellent academic record
• 1-3 years of working experience or 1-2 years of internship experience in the financial services field and knowledge of FRB regulations, a plus
• Strong desire to continually deliver a quality and meaningful work product in a timely and efficient manner
• Demonstrates sound judgement, political astuteness, and sensitivity to cultural diversity
• Solid interpersonal and written and verbal communications skills to successfully interface with all levels of management and maintain solid working relationships
• Maintaining a compliance risk mindset to understand underlying regulatory risks and an ability to identify control weaknesses to properly mitigate such risks
• Strong analytical skills, highly organized, detail oriented, self-driven, and motivated
• Advanced Word, Excel, and PowerPoint skills and the ability to quickly learn new software applications

Benefits

• Competitive portfolio of benefits
• Annual discretionary incentive award

Company Overview

Company H1B Sponsorship