Compliance Communications Surveillance Associate

SMBC Group; Jersey City (NJ); Hybrid; USD 80,000 - 131,000; Full time

Job summary

A leading global financial group is seeking a Compliance Communications Surveillance Associate to review electronic communications and ensure compliance with regulations. The role involves identifying suspicious activities and contributing to the surveillance program within a hybrid work model. Ideal candidates will have a background in finance and knowledge of relevant systems.

Qualifications

• Knowledge of systems for message and voice review required.
• Fluency in Japanese preferred.
• Experience in the financial industry is essential.

Responsibilities

• Review electronic and voice communications promptly.
• Identify and escalate suspicious communications.
• Support special investigations as directed.

Skills

Knowledge of systems used for message and voice review

Fluency in Japanese

Experience with Surveil-X

Previous experience in the financial industry

Proficiency in MS Excel

Job description

Join to apply for the Compliance Communications Surveillance Associate role at SMBC Group.

SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400-year history, offering diverse financial services including banking, leasing, securities, credit cards, and consumer finance. It operates over 130 offices worldwide with more than 80,000 employees across nearly 40 countries. The Group is part of Sumitomo Mitsui Financial Group, Inc. (SMFG), one of Japan's three largest banking groups, with shares traded on Tokyo, Nagoya, and NYSE.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru, providing a range of banking services to corporate, institutional, and municipal clients through its various subsidiaries.

The salary range for this role is between $80,000 and $131,000, based on individual qualifications and market conditions. The position may also include an annual discretionary incentive and a competitive benefits package.

Role Description

We are hiring an E-communications Surveillance Associate responsible for reviewing corporate electronic communications and escalating suspicious or non-compliant events, in accordance with FRB, FINRA, SEC, CFTC rules, and internal policies.

Role Objectives

1. Review electronic and voice communications promptly.
2. Identify and escalate suspicious communications with proper documentation.
3. Stay updated on relevant regulations and policies.
4. Support special investigations as directed.
5. Contribute to projects to improve the surveillance program.

Qualifications and Skills

• Knowledge of systems used for message and voice review.
• Fluency in Japanese preferred.
• Experience with Surveil-X is desirable.
• Previous experience in the financial industry.
• Proficiency in MS Excel.

SMBC offers a hybrid work model, requiring employees to live within a reasonable commute. Specific schedules will be discussed during interviews. Reasonable accommodations are available for applicants with disabilities.

Additional Information

• Seniority level: Associate
• Employment type: Full-time
• Job function: Other and Analyst
• Industry: Banking