SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd. The anticipated salary range for this role is between $80,000.00 and $131,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees. **Role Description** This role will support the Compliance Issue Management team (CIM) to ensure the proper governance framework is in place and the timely input, accuracy and reporting of issues data. This role will directly utilize the Firm’s Issue Tracker system and interface with relevant stakeholders. This role will report into the Director of Issues Management. This role and team will be responsible for compliance issues management from the Americas Division (AD) perspective. This is a great opportunity to work with various stakeholders across the compliance programs within the AD and be involved in further building & strengthening of key compliance controls and processes. **Role Objectives** + Support the CIM team to oversee the use/application of the Firm’s central issue tracker tool within the compliance functions, ensure its consistent application and facilitate ongoing communication, escalation, and resolution process through standardized communication routines and tools. + Assist compliance issue owners/managers through the issue closure process, facilitating communication with the assessment team and follow up on open items for timely issue closure submission. When timely completion is not possible, escalate immediately to CIM management to assess alternative options. + Assist in the design, development, enhancement, and implementation of management reporting for issues and actions for relevant stakeholders and senior leadership. + Support the ongoing tracking and completion of compliance-owned issues and drive resolution. + Assist in the data collection, aggregation and preparation of management reporting for senior leadership to support issue tracking for compliance. + Assist in reviewing Action Plans to ensure that actions are sufficiently detailed and specific to address and remediate the root cause of the identified issues. + Support Issue Closure Pack and artifact reviews to assess if documentation provided supports full remediation and closure of the issue. + Support the review, validation and registration of management self-identified issues (MSII) within the Firm’s central issue tracker tool for compliance, assessing and recommending issue severity to drive expectations on resolution activities and timeliness. + Provide user support and training to compliance users for the issue tracking tool and provide additional oversight and 2LoD challenge routines as required by internal protocols. + May support or lead ad-hoc and special projects to further enhance key compliance programs as required by management. + Cross training within the team is required to support collaboration and business continuity. **Qualifications and Skills** + 3+ years of direct, relevant experience in financial service operations, control, compliance, audit, or regulatory management. + Functional knowledge of the Banking industry and applicable rules, regulations, and processes. Foreign bank experience is a plus. + Superior organizational and analytical skills, with proven ability to successfully manage multiple, concurrent priorities and adapt as necessary. + Demonstrated relationship management and interpersonal skills with ability to deepen relationships and build partnerships across the business and key functional support areas. + Detail oriented, with proven ability to identify enhancement opportunities within existing processes and business practices by leveraging prior experiences. + Strong technical skills and proficiency in Excel, PowerPoint, SharePoint, Power BI and other Microsoft tools is a plus. + Experience with large datasets and data analysis is a plus. SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.