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 80000 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. SMFGs 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 organizations extensive global network. The Groups 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.
JOB SUMMARY
We are seeking an experienced Technology Lead to drive the delivery of our Conflict of Interest (COI) Control Room technology platform and related compliance initiatives. The role will partner closely with Compliance Control Room Data and Technology teams to design implement and enhance solutions that support transactional conflict identification workflow management auditability and regulatory compliance. The ideal candidate will possess a strong understanding of compliance and Control Room functions coupled with hands-on experience delivering complex technology solutions. They will be responsible for driving initiatives from requirements through implementation managing vendor relationships coordinating cross-functional teams and ensuring successful delivery of strategic compliance technology programs.
PRINCIPAL DUTIES AND RESPONSIBILITIES
Lead the delivery and enhancement of COI Control Room and related Compliance Technology solutions.
Partner with Compliance Legal Risk and business stakeholders to gather requirements and translate regulatory and operational needs into technology solutions.
Drive initiatives through the full delivery lifecycle including requirements solution design development testing implementation and production rollout.
Manage relationships with vendors technology teams and business stakeholders to ensure successful project execution.
Define and oversee system integrations data sourcing data quality controls and operational processes supporting compliance workflows.
Collaborate with architecture engineering and data teams to deliver scalable and sustainable solutions.
Monitor project progress risks issues and dependencies providing clear communication and escalation as required.
Support production issue management release planning testing and post-implementation activities.
Develop and maintain documentation including business requirements functional specifications process flows and operating procedures.
Drive continuous improvement initiatives through automation analytics and emerging technologies including AI-based solutions.
POSITION SPECIFICATIONS
5 years of experience in Technology Delivery Business Analysis Product Ownership Technology Consulting or a related field.
Strong understanding of Conflicts of Interest (COI) Control Room MNPI Employee Compliance or related compliance functions within financial services.
Proven ability to manage initiatives from requirements gathering through implementation and production support.
Strong understanding of system integrations APIs data architecture and cloud-based technologies.
Experience working with Compliance Legal Risk Audit Front Office Operations and Technology stakeholders.
Strong analytical and problem-solving skills with the ability to assess business processes and translate requirements into technology solutions.
Experience managing vendor-delivered solutions and coordinating cross-functional delivery teams.
Knowledge of Agile SDLC project governance testing and change management processes.
Strong communication and stakeholder management skills including experience presenting to senior management and governance forums.
Proficiency in SQL and working knowledge of Python for data analysis validation automation and troubleshooting.
NICE TO HAVE:
Compliance & Financial Services:
Experience with Control Room Information Barrier Watch List Restricted List Employee Compliance or Surveillance platforms.
Knowledge of regulatory requirements relating to conflicts of interest MNPI and market conduct controls.
Experience working on Compliance Conduct Risk or Surveillance transformation programs.
Data & Technology
Experience with Databricks Snowflake Azure or similar cloud-based data platforms.
Understanding of data governance data quality controls and regulatory reporting frameworks.
Experience utilizing AI/ML solutions for compliance monitoring workflow automation or analytics.
Familiarity with DevOps CI/CD pipelines and modern software delivery practices.
Leadership & Delivery
Experience leading large-scale technology implementations involving multiple stakeholders and vendors.
Project or program management experience within a regulated financial services environment.
Experience managing globally distributed teams and working across multiple regions and time zones.
SMBCs 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
Required Experience:
Staff IC
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 80000 employees worldwide in nea...
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 80000 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. SMFGs 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 organizations extensive global network. The Groups 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.
JOB SUMMARY
We are seeking an experienced Technology Lead to drive the delivery of our Conflict of Interest (COI) Control Room technology platform and related compliance initiatives. The role will partner closely with Compliance Control Room Data and Technology teams to design implement and enhance solutions that support transactional conflict identification workflow management auditability and regulatory compliance. The ideal candidate will possess a strong understanding of compliance and Control Room functions coupled with hands-on experience delivering complex technology solutions. They will be responsible for driving initiatives from requirements through implementation managing vendor relationships coordinating cross-functional teams and ensuring successful delivery of strategic compliance technology programs.
PRINCIPAL DUTIES AND RESPONSIBILITIES
Lead the delivery and enhancement of COI Control Room and related Compliance Technology solutions.
Partner with Compliance Legal Risk and business stakeholders to gather requirements and translate regulatory and operational needs into technology solutions.
Drive initiatives through the full delivery lifecycle including requirements solution design development testing implementation and production rollout.
Manage relationships with vendors technology teams and business stakeholders to ensure successful project execution.
Define and oversee system integrations data sourcing data quality controls and operational processes supporting compliance workflows.
Collaborate with architecture engineering and data teams to deliver scalable and sustainable solutions.
Monitor project progress risks issues and dependencies providing clear communication and escalation as required.
Support production issue management release planning testing and post-implementation activities.
Develop and maintain documentation including business requirements functional specifications process flows and operating procedures.
Drive continuous improvement initiatives through automation analytics and emerging technologies including AI-based solutions.
POSITION SPECIFICATIONS
5 years of experience in Technology Delivery Business Analysis Product Ownership Technology Consulting or a related field.
Strong understanding of Conflicts of Interest (COI) Control Room MNPI Employee Compliance or related compliance functions within financial services.
Proven ability to manage initiatives from requirements gathering through implementation and production support.
Strong understanding of system integrations APIs data architecture and cloud-based technologies.
Experience working with Compliance Legal Risk Audit Front Office Operations and Technology stakeholders.
Strong analytical and problem-solving skills with the ability to assess business processes and translate requirements into technology solutions.
Experience managing vendor-delivered solutions and coordinating cross-functional delivery teams.
Knowledge of Agile SDLC project governance testing and change management processes.
Strong communication and stakeholder management skills including experience presenting to senior management and governance forums.
Proficiency in SQL and working knowledge of Python for data analysis validation automation and troubleshooting.
NICE TO HAVE:
Compliance & Financial Services:
Experience with Control Room Information Barrier Watch List Restricted List Employee Compliance or Surveillance platforms.
Knowledge of regulatory requirements relating to conflicts of interest MNPI and market conduct controls.
Experience working on Compliance Conduct Risk or Surveillance transformation programs.
Data & Technology
Experience with Databricks Snowflake Azure or similar cloud-based data platforms.
Understanding of data governance data quality controls and regulatory reporting frameworks.
Experience utilizing AI/ML solutions for compliance monitoring workflow automation or analytics.
Familiarity with DevOps CI/CD pipelines and modern software delivery practices.
Leadership & Delivery
Experience leading large-scale technology implementations involving multiple stakeholders and vendors.
Project or program management experience within a regulated financial services environment.
Experience managing globally distributed teams and working across multiple regions and time zones.
SMBCs 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
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