Ethics Office Program Governance Analyst

Ethics Office Program Governance Analyst

The Ethics Office within the SMBC Americas Division Compliance Department is seeking a Program Governance Analyst. This Analyst is responsible for supporting all teams across the Ethics Office, including the Conduct Management Program, Compliance Culture Program and Employee Compliance Program. The role will work closely with subject matter experts and compliance officers and technology colleagues. The Analyst should have a familiarity with financial services and a willingness to learn.

Role Objectives

• Contribute to the development of content to support the key components of our Ethics Governance program.
• Perform periodic data collection and reporting of metrics and risk indicators to measure the Ethics Program effectiveness.
• Produce relevant reporting for senior management and Committees.
• Work with different stakeholders across the America Division.
• Work on policy and procedure gap analysis.
• Other duties 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.