Compliance Control Room

Role Description

The position will report to the Head of Americas Control Room. Performs core Control Room advisory and monitoring functions including interaction with business functions, Watch and Restricted list maintenance, and deal updates.

Role Objectives

• Performs core Control Room advisory and monitoring functions. This requires interacting with Debt Capital Markets (DCM), Equity Capital Markets (ECM), Investment Banking Group (IBG), Relationship Management Group (RMG) and Structured Finance Group (SFG).
• Also assist in the continued enhancement of the Control Room and the build out of an expanded Control Room including policy and technology developments across divisions.
• Maintains information barriers and manages material non-public information. Maintains the Watch List and Restrict List. Advises and records all Wall Crossings.
• Liaises with EMEA and Tokyo Compliance to ensure global consistency where necessary and/or desirable.
• Performs local Conflicts of Interest (COI) checks.

Qualifications and Skills

• Prior Control Room experience preferred.
• Ability and confidence to successfully interact with management and senior bankers.
• Ability to analyze complex situations and provide guidance in time sensitive situations.
• Excellent oral and written communication skills including the ability to articulate securities laws and regulatory requirements to business professionals.
• Self-starter able to work independently with minimal supervision as well as within a team environment.
• Ability to work as a member of a team in a fast-paced environment.
• Detail-oriented with ability to multitask, organize and prioritize.

Additional Requirements

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.

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at [email protected].