SMBC is seeking an Associate for the Employee Compliance Team. This role reports to the Vice President of CPAD and has primary responsibility for the ongoing administration of the bank’s personal trading surveillance program.

The candidate should be well versed in applicable laws, rules, and regulations related to trade surveillance and Insider Trading.

The anticipated salary range for this role is between $79,000 and $125,000. 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.

• Ongoing enforcement of the Firm’s Watch/Restricted Lists; specifically, their application and integration within the Policy’s trading rules.
• Performing the on- and off-boarding of employee accounts, including establishing broker feeds, periodic certifications, and reporting/analysis of trading activity via the trade surveillance system.
• Assisting in transactional and forensic testing to ensure compliance with relevant policies and procedures.
• Compilation and reporting of performance and risk metrics related to Personal Account Dealing.
• Support and development, delivery and tracking of requisite certifications.
• Assisting with the establishment and enhancement of relevant policies and procedures.

• Three-five years of prior Personal Account Dealing and/or related experience, having a demonstrated track record of increasing responsibilities.
• Strong foundations in Insider Trading-related laws, rules, and regulations (e.g., Sections 10(b) and 15(g) of the Exchange Act of 1934 and Rule 10b-5 thereunder).
• Familiarity with automated personal trade surveillance systems is required.
• The successful candidate must demonstrate strong attention to detail, analytical skills, and ability to identify issues to escalate accordingly.
• Excellent written and verbal communication skills to liaise with all levels of management, and to drive a collaborative rapport with all Staff.
• Ability to manage and prioritize multiple unrelated assignments, as well as adapt to unexpected challenges to meet deadlines.
• Commitment and sensitivity to diversity, equity, and inclusion in the workplace.