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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 $138,000.00 and $179,000.00. 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

Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Training Vice President to join our Compliance Department Training Team. In this role, you will report to the Executive Director, Head of Compliance Training, and will be responsible for overseeing training effectiveness, training metrics and reporting. You will be responsible for implementing and overseeing the training reminder and escalation process, which includes updating the Head of Compliance Training on trends in completion data. You will also assist the Head of Compliance Training by participating in the training needs analysis process for the America’s Division (AD) Compliance Training Program.

This role provides exposure to diverse business lines and corporate functions, making it an excellent opportunity for career growth and professional development. In this role, you’ll collaborate closely with subject matter experts (SMEs) and stakeholders within the AD.The candidate should have a strong functional knowledge of banking and securities regulations in the U.S. and a working knowledge of the regulatory requirements in other countries in the Americas. The candidate should also have experience in presenting data in leadership forums. Familiarity with the production and deployment of training in a variety of channels is a plus. The ideal candidate will be adept at managing multiple stakeholders and capable of driving consensus to deliver high-quality results.

Role Objectives

+ Evaluate the effectiveness of training programs through assessments, feedback, and performance metrics to ensure that learning objectives are met.

+ Collect, analyze, and report on training metrics to measure the impact of training programs. This includes tracking completion rates, breach metrics, and other relevant data.

+ Participate in the training needs analysis process to identify skill gaps and training requirements within the organization.

+ Maintain any relevant program governance documentation, such as process and procedures for the team.

+ Manage a team of associates responsible for dashboard maintenance and gathering data for reporting.

+ Work with other stakeholders to improve the program, including other Compliance Verticals and HR..

+ Manage and oversee the process of exam requests, ensuring that all necessary procedures are followed.

+ Manage the Instructor-Led Training (ILT) process, including gathering all necessary documentation needed to track completion.

+ Any other responsibilities, as required.

Qualifications and Skills

+ 5 or more years’ experience in managing training programs, conducting training needs analysis, and evaluating training effectiveness is crucial.

+ A strong understanding of compliance regulations and standards relevant to the industry. This includes staying updated with changes in regulations and best practices.

+ Meticulous in maintaining accurate records of training activities, exam requests, and documentation.

+ Knowledge or experience using course authoring tools (e.g., Articulate Storyline/Rise, Captivate) is a plus.

+ Highly organized, collaborative and comfortable working in a fast-paced environment.

+ Experience developing and maintaining internal team processes and procedures.

+ Experience communicating with and presenting status updates to senior leadership, including C-suite.

+ Knowledge of learning management systems and intermediate skills in Microsoft Excel with experience analyzing large data files and providing high-level information.

+ Ability to resolve conflicting requests and manage multiple priorities.

+ Capable of handling complex and confidential matters in a professional manner.

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].

EOE, including Disability/veterans