Associate/analyst - Banking Compliance

2 weeks ago

Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

Overview:
Reporting to the Executive Director & Head of Compliance (Canada), the Banking Compliance Associate works closely with the Vice President of Compliance Program Management on policies and procedures development relating to the Branch’s banking compliance management, in addition to transformation initiatives coming from the Americas Division (AD) Regional Office. The incumbent shall provide analytical and administrative support to the VP regarding policy and procedure review, adoption, and development as well as associated communication and training efforts.

Act as a specialist in Canadian Bank Act, OSFI Guidelines, Privacy Act. The Compliance Associate will provide research in legal and regulatory topics to support the compliance management in strategizing the appropriate response and business approach toward evolving regulatory expectations.

**Responsibilities**:

- Responsible for assisting the VP Compliance Program Management to draft the Regulatory Compliance Management governance controls document, and draft risk assessments for SMBC Canada Branch that are relating to the OSFI Guideline E-13. Including but not limited to the following:

- Identify, risk assess, communicate, effectively manage, and mitigate regulatory compliance risk and maintain knowledge of applicable regulatory requirements.
- Draft quarterly and annual compliance risk assessments.
- Supporting local Canada Branch policy review, development, and analysis:

- Deep diving into Canada Branch policies to ensure clarity, consistency, and accuracy
- Working closely with the VP of Compliance Program Management to ensure that policy content is up-to-date and reflective of the Branch’s business and operations
- Collaborating with stakeholders in creating new policies and procedures for Canada Branch, as required by the business.
- Liaising with colleagues in Toronto and New York to support the SMBC, Canada Branch adoption of Americas Division policies, procedures, and frameworks:

- Provide thoughtful and jurisdiction-specific commentary and feedback on draft regional policies sent for solicitation
- Work with Branch stakeholders to ensure that consensus is achieved on local adoption of regional policies (e.g., on what will be local roles and responsibilities, reporting, monitoring, etc.)
- Redline local policies and procedures, as necessary, to reflect adopted requirements from AD policies; Prepare memos for approval by Branch Management
- Assist in the development of training and communications, as necessary, to ensure that Branch employees understand policy and procedure requirements
- Other duties, as required.

Qualifications:
Knowledge & Experience:

- Minimum of 3 years’ experience in FRFI compliance or legal dept. Paralegal training is an asset.
- Strong reasoning ability: understand complex situations, people and systems needs against backdrop of an ever-changing regulatory environment;
- Able to learn quickly and dissect complicated issues within a large financial institution
- Knowledge and understanding of Japanese culture and foreign banks in general are desirable

**Skills**:

- Strong analytical and communication skills. Excellent writing skills is a “must” (e.g., policy development - from start to finish)
- Reasonable knowledge of Bank Act, Privacy Act and OSFI guidelines.
- Excellent time management skills with the ability to multitask, continuously prioritize tasks.
- Advanced skill in the use of SharePoint, Microsoft Word, Excel, PowerPoint, Adobe Acrobat, Outlook, and experience with on-line research systems.
- Able to work independently on projects and tasks. Self-motivated and action-oriented; adaptable to changes arising from Branch and SMBC-wide transformation

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