Executive Director, Global Market Oversight & Controls

SMBC; Charlotte (NC); On-site; USD 180,000 - 240,000; Full time

Job summary

SMBC in Charlotte, NC is seeking an Executive Director to lead supervisory activity oversight across the Americas, including Global Markets, Capital Markets and Banking. You will design and govern oversight programs, provide credible challenge to Front Office leaders, and drive remediation and evidence standards across the transaction lifecycle.

The role requires extensive experience in risk management, regulatory compliance, and cross-functional leadership within a major global financial

Qualifications

• Advanced knowledge of supervisory activity oversight and first-line risk management.
• Experience with governance reporting, issue management, and remediation strategies.
• Familiarity with Global Markets, regulatory expectations, and audit processes.

Responsibilities

• Set supervisory oversight strategy aligned with regulatory expectations.
• Lead end-to-end assessment of supervisory activities across the trade lifecycle.
• Provide senior challenge and advisory support to Front Office supervisors and leadership.
• Oversee QA reviews, control testing, and remediation validation.
• Coordinate with Compliance, Risk Management, Internal Audit, Legal, and Technology on supervisory procedures.
• Drive process reengineering to reduce operational risk and strengthen controls.
• Develop and maintain supervisory policies, procedures, and evidence standards.
• Produce executive-level reporting for governance and regulatory inquiries.

Skills

Executive leadership

Front Office liaison

Risk management

Regulatory compliance

Stakeholder management

Data analysis

Program management

Change management

Quality assurance

Supervisory controls

Education

Bachelor's degree in Finance/Risk

Job description

SMBC in Charlotte, NC is seeking an Executive Director to lead supervisory activity oversight across the Americas, including Global Markets, Capital Markets and Banking. You will design and govern oversight programs, provide credible challenge to Front Office leaders, and drive remediation and evidence standards across the transaction lifecycle.

The role requires extensive experience in risk management, regulatory compliance, and cross-functional leadership within a major global financial