Compliance Vice President

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 Vice President (VP) Financial Market Advisory for our Compliance department to join our team. 

The VP Financial Market advisory officer is expected to build effective relationships across all levels of seniority, enable a strong compliance culture in the Branch, uphold the standards and reputation of the Compliance function, and provide SME input on projects and initiatives relevant to financial markets products.

Recognised SME in private and public side businesses including Capital Markets, Sales and Trading activities from an advisory perspective. 

Demonstrated understanding of relevant existing and future regulations applicable to a universal bank (e.g. MiFID, EMIR, MAR) and experience of advising businesses on compliance thereof, including investigating related potential or actual breaches where needed.

Act as SME in support of designated business areas including Debt Capital Markets, Derivatives and Foreign and Exchange businesses. 

5 to 7 years’ experience in a similar role is expected

AMF certification and Bachelor’s or Master’s degree (or equivalent) in a relevant field

Position Description

The Bank is required to have an appropriate Compliance function, with a sufficient number of competent staff, able to act independently to perform their duties objectively.

Compliance Advisory is responsible for acting as key point of contact for the business, providing specific compliance support by advising on and interpreting rules.  Compliance Advisory also engages and promotes close collaboration with other SMFG entities globally, in particular those that engage in or perform activities impacting the Securities and Trading business. Overall, the Compliance Department is tasked with ensuring close monitoring and adherence with local and Head Office compliance requirements.

Key Stakeholders:

All areas of the business which include: 

• Front, Middle and Back office, with a stronger focus on the Front office business areas (DCM, Fixed Income, Derivatives), as appropriate

SMFG entities worldwide

• Industry and Financial Regulators
• Auditors (both Internal and External)
• Compliance functions within the SMBC group
• Local and Head Office Committees (including Executive Committee)

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!!