Vice President, Compliance Training

Vice President, Compliance Training

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

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 accommodations@smbcgroup.com.