Control Room Analyst -Assistant Vice President (m/w/d)

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?

We're looking for a Control Room Analyst AVP to join our Central Compliance Group.

This role offers the opportunity to support Compliance Private Side Advisory activities across EMEA, helping the Bank manage information barriers, inside information, conflicts of interest, and related regulatory obligations. Working closely with Compliance, business, and regional stakeholders, you will contribute to maintaining a robust control environment while supporting reporting, governance, and process improvement initiatives.

In this role you will be responsible for:

• Providing Compliance support on Control Room matters, including information barriers, insider lists, restricted lists, and conflicts of interest
• Supporting governance, monitoring, reporting, and regulatory activities across the Control Room function
• Enhancing reporting, data management, and process automation capabilities to improve control effectiveness and operational efficiency

For you to succeed in the role, you'll need to have:

• Experience within financial services, Compliance, Risk, Legal, Audit, or a related control function
• Strong analytical skills combined with the ability to interpret regulatory requirements and apply practical solutions
• Excellent stakeholder management and communication skills, with the ability to work across international teams and functions

The anticipated salary range for this role is €66,000 - €99,000, with the final offer determined based on the candidate’s skills, experience, role scope, location, and relevant market factors. In addition to base salary, the role may be eligible for a discretionary incentive award and a competitive benefits package, including core benefits such as pension provision.

Position Description

About this role

The role focuses on supporting the Bank's framework for managing inside information, information barriers, and conflicts of interest, while helping ensure compliance with German, European, and SMBC Group regulatory requirements. The position combines advisory, monitoring, reporting, and governance responsibilities and works closely with stakeholders across EMEA, Tokyo, and other SMFG entities.

The role also contributes to the continuous improvement of Control Room processes, systems, reporting, and data governance capabilities.

Our role will enable you to:

• Develop expertise in Control Room activities and market conduct-related regulations
• Support the management of information barriers, insider lists, restricted lists, and conflicts of interest controls
• Contribute to regulatory examinations, audits, governance activities, and compliance initiatives
• Partner with Compliance, business, and regional stakeholders across EMEA and SMBC Group entities
• Drive improvements in reporting, data quality, automation, and management information capabilities
• Participate in strategic Compliance and firm-wide projects 

What will you bring to the role?

• Bachelor's degree or equivalent qualification in Compliance or other relevant field
• Experience within Compliance, Risk, Audit, Legal, Financial Crime, or another control function within a regulated environment
• Strong analytical skills, attention to detail, and sound professional judgement
• Ability to manage multiple priorities while delivering high-quality work in a fast-paced environment
• Strong stakeholder management and communication skills, with the ability to build effective working relationships across functions
• Understanding of Control Room concepts
• Interest in regulatory frameworks, Compliance governance, and control environments
• Strong data and reporting capabilities, including experience with Excel, Power BI, or similar analytical tools
• Experience developing dashboards, management reporting, or structured datasets
• Exposure to automation and workflow solutions such as PowerApps or similar technologies
• Understanding of data governance principles and controlled data environments
• Proactive mindset with a willingness to develop both technical and Compliance expertise
• Fluency in English, both written and spoken

Desirable:

• Experience within a Control Room, Compliance Advisory, Market Conduct, Surveillance, or Financial Crime Compliance function
• Familiarity with insider dealing prevention controls and conflicts of interest frameworks
• Experience supporting regulatory examinations, audits, or remediation activities
• Knowledge of German and European regulatory requirements relevant to wholesale banking and capital markets
• German language skills is an asset
• Experience working with international stakeholders within a matrix organisation
• Professional Compliance or regulatory qualifications would be advantageous

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
• 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!