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SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is between $75,000.00 and $120,000.00. 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.

Role Description

Within the Financial Crimes Compliance Department in the Americas, the White Glove Associate is responsible for performing Know Your Customer (KYC) onboarding and quality control processes for specialized business lines. In addition to flexing between collecting/reviewing KYC documentation/information and performing quality control checks, the KYC Production & Quality Control Associate may be asked to assist with specialized projects, queue management, and team oversight. May act in capacity of team leader or individual contributor.

Role Objectives

+ Ensures operational efficiencies and customer data integrity in accordance with internal policies and procedures of SMBC and Head Office and compliance with AML/BSA/OFAC regulations.

+ Performs new customer onboarding tasks and conducts quality control checks of KYC information in accordance with policy and procedure.

+ Ensures adherence to the SMBC KYC Program; supporting industry, bank, and system-related changes

+ Recommends program enhancements while adhering to KYC Compliance and Policy requirements

+ Ensures mandatory information is collected and verified prior to account opening

+ Appropriately escalates compliance concerns

+ Provides initial review or quality check on updates to existing customer records, including documentation review.

Qualifications and Skills

+ Very strong technical knowledge of AML, Bank Secrecy Act, Foreign Asset Control

+ Very strong level knowledge of KYC (Know Your Customer) process and regulations

+ Strong knowledge of banking policies, statutory and compliance regulations

+ Strong knowledge of market practices related to compliance operations

+ Good judgement, sense of urgency and accountability; time- management skills; critical thinking skills

+ Ability to supervise and train others

+ Ability to execute in a high pressure environment

+ Good interpersonal skills

+ Strong written and verbal communication skills

Additional Requirements

+ Work Experience: 3 to 5 years of specialized experience in Financial Services. Back-office operations. Management experience preferred

+ Education: BA / BS (or equivalent experience)

+ Licenses / Certifications / Registrations: CAMS preferred

+ Language Skills: English

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.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at [email protected].