Director, Outside Business Activities and Contributions Lead

The anticipated salary range for this role is between $198,000.00 and $240,000.00. 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

The Outside Business Activities and Contributions Leadwill report to the Head of Employee Compliance with responsibility for oversight of the firm’s outside business activities, private investments and political contributions program (“Program”). This leader will manage the Program across the Americas Division, serve as the subject matter expert with strong issue spotting and problem solving skills to escalate matters. The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer, SMBC Americas Division Head of Ethics Office, business unit supervisors, compliance officers, Legal and Human Resources.

Role Objectives

• Oversee, lead and manage a team who is responsible for performing due diligence, analysis and recommendation for managing potential employee related conflicts of interests.
• Assign, monitor, review and lead team members on program workflow.
• Build strong working relationships with business line supervisors, Compliance, Legal, Human Resources and others across the firm to ensure a collaborative approach to managing the Outside Business Activities and Contributions Program.
• Manage team’s participation in the Charitable Contribution review process.
• Oversee team’s ad hoc and quarterly testing related to political contributions for MFPs and Covered Associates.
• Coach and mentor team members.
• Manage internal audits and regulatory examinations.
• Lead refresh process for Policy and Procedures.
• 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.