Regulatory Compliance Analyst - Assistant Vice President (f/m/d)
Düsseldorf, RP, DE, 40549
SMBC: A trusted partner for the long term
Here at SMBC Group, we want to help you find the next step in your career so read on to discover if this opportunity is the one for you. We like to recognise potential in our people, so we welcome your application even when your experience doesn’t perfectly align with the job description. Whilst we’ll always strive to be better, we’re proud of our inclusive culture, and encourage our applicants and colleagues to be their authentic, unique selves.
Who we are
United by a sense of purpose towards our customers – to be a trusted partner for the long-term – and our universal banking platform in EMEA, SMBC Group has an international growth agenda and award-winning products, meaning we provide exciting opportunities to work on a diverse range of projects and initiatives. We deliver a full suite of corporate finance products and solutions to our customers as well as investment banking and advisory services, and a range of innovative solutions in global capital markets. Read on to find out how you could enhance your skills and gain valuable experience, by joining us to support our clients transition to a sustainable future.
Role Summary
Is the next step in your career at SMBC Group EMEA?
In this role you will be responsible for:
- Monitoring and assessing regulatory changes at EU and national level and coordinating their implementation across SMBC EU Group.
- Advising internal stakeholders on compliance matters and supporting key risk assessments, policy development, and training activities.
- Representing the Regulatory Compliance Team in projects, audits, and regulatory engagements.
For you to succeed in the role, you’ll need to have:
- Professional experience in compliance, regulatory affairs, legal, or financial services.
- Strong knowledge of European financial regulations (e.g., MiFID II, EMIR, MAR, WpHG, KWG).
- Excellent analytical, organisational and communication skills, with fluency in German and English.
Position Description
SMBC EU must comply with a wide range of EU‑wide and national regulations as part of its role as Intermediate Parent Undertaking (IPU). To meet these obligations, the Regulatory Compliance Team (RCT) ensures compliance with laws, policies, and regulatory expectations across branches and subsidiaries.
This role supports the implementation, coordination, and oversight of regulatory requirements and contributes to maintaining transparent, fair, and efficient markets. Stakeholders include senior management, front office, internal control functions, SMBC EU Group entities, regulators, and auditors.
Our role will enable you to:
- Monitor and analyse regulatory developments and evaluate their impact on the organisation.
- Support annual compliance risk assessments and integrate results into policies and procedures.
- Develop or adapt compliance policies, coordinate training, and support implementation across SMBC EU Group.
- Provide day‑to‑day compliance advice to business units and act as subject matter expert in projects and committees.
- Support and prepare for regulatory audits, investigations, and regular reporting obligations.
- Collaborate with EU branches, subsidiaries, and global colleagues to ensure cohesive compliance oversight.
What will you bring to the role?
Essential:
- University degree in Law, Business, Economics, or equivalent qualifications (e.g., banking apprenticeship).
- Experience in compliance, regulatory affairs, financial services, or legal functions.
- Strong understanding of EU regulatory frameworks applicable to multinational financial institutions.
- Excellent organisational, analytical and communication skills with fluency in German and English.
Desirable:
- Experience with cross‑border compliance coordination in banking groups.
- Prior involvement in regulatory change management or compliance risk assessments.
- Knowledge of regulatory expectations from ECB, BaFin, Bundesbank or similar authorities.
Competencies
What we offer
For all the expertise and experience you bring to help us make a difference, it’s only sustainable if we support you to build your career and be your best self so we offer competitive company benefits, centred around promoting positive well-bring and work-life balance. We also believe in fostering a diverse and inclusive work environment, where all team members perspectives and contributions are valued. Initiatives in place which promote a diverse and inclusive culture and healthy work life balance include hybrid working, Sport & Social Clubs and Diversity and Inclusion networks.
As an employee of SMBC you have access to a host of both useful and exciting benefit offerings. See below some of the benefits on offer to you:
- Hybrid and flexible working
- Competitive paid leave days
- Benefits to support your physical wellbeing, including private medical insurance and life and invalidity insurance
- Various policies to support your mental wellbeing, including a robust behavioural health network with counselling and coaching services
- Access a wide range of learning and development opportunities and career progression opportunities
- Ambitious remuneration package
So, if you like a challenge and want to continuously grow and develop in a role where you will be supported along the way by a dynamic and diverse team, apply today!
We recognise our role as a bank to support social change and welcome all applications, including those from groups often under-represented in financial services. We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing the sustainable growth of our organisation. We’ll ensure reasonable adjustments to our recruitment process are offered due to a disability or long-term condition whenever requested.