Conduct Analytics Associate

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

Summary of Role

The Conduct Analytics Associate supports the Compliance department by delivering data-driven insights, preparing management information, and identifying conduct risks across the EMEA region. The role involves collaboration with internal stakeholders and contributes to regulatory reporting, policy reviews, and process improvements.

Essentials of the Role

1. Prepare and analyse Management Information (MI) to identify conduct trends and risks.
2. Support the development and automation of conduct-related metrics and dashboards.
3. Collaborate with compliance teams across EMEA to ensure alignment with regulatory expectations.

Candidate Requirements

1. Strong analytical and communication skills with attention to detail.
2. Proficiency in Microsoft Office; experience with data visualisation tools (e.g., Power BI) is desirable.
3. Understanding of conduct risk frameworks and financial markets (preferred but not essential).

Business Area

The role sits within the Compliance Department, operating under the oversight of SMF16, and plays a key part in ensuring the firm meets its regulatory obligations through an independent and effective compliance function. The department supports the business by defining and monitoring the firm’s compliance risk appetite, providing assurance on adherence to risk tolerances, and advising on regulatory matters across the SMFG Group. Within this framework, the Conduct Analytics function is essential—delivering data-driven insights to identify, monitor, and mitigate conduct risks, thereby supporting regulatory compliance and promoting a strong conduct culture across the EMEA region.

Position Description

• Reporting to the Head of Conduct Analytics, this role will be responsible for delivering key aspects of the Conduct Analytics functions. This includes preparation of Management Information (MI), analysing data to identify trends, supporting regulatory reporting and collaborating with the wider teams to support processes.
• A key focus will be on gathering, processing, and interpretation of data to gain insights to identify potential conduct risks and provide actionable insights to senior management.
• The role will also support the development and continuous improvement of conduct-related metrics, as well as contribute to compliance projects and general compliance activities.

Accountabilities & Responsibilities

• Liaise with colleagues in Central Compliance and Financial Crime across EMEA to manage & produce valuable MI for key executive committees at Board and Executive level for the Compliance department.
• Ensure Conduct metrics are appropriately aligned with the EMEA Conduct risk Assessment framework.
• Identify opportunities for improvement to processes, including working with systems team to develop enhancements when possible.
• Support Policy Review schedules including review of EMEA Division policies.
• Support the development of dashboards, reports, and models that provide insights into employee conduct, policy adherence, and cultural indicators.
• Contribute to the automation of manual reporting processes where feasible.

• Contribute to identifying and interpreting new regulatory developments of new regulations relating to Conduct.
• Assist with answering ad hoc Conduct Analytics queries from the business.
• Prepare and manage the team meetings and key compliance approval committees.
• Expected to include completing allocated tasks from the Compliance Monitoring Programme ("CMP").
• Produce & present beneficial data trend & analysis to senior management.
• Ensuring the Breach Management process is correctly followed, and accurate records are maintained.

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!!