SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400-year history. The group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance, and employs over 80,000 people worldwide in nearly 40 countries. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru, providing commercial and investment banking services to corporate, institutional, and municipal clients. Salary range: $80,000.00 – $131,000.00, depending on qualifications, experience, and market competitive analysis. The role may also be eligible for an annual discretionary incentive award. Role Description The Financial Crimes Prevention Unit’s Financial Intelligence Unit (FIU) monitors and investigates post‑account opening activities, assessing potentially unusual transactions. Reporting to the FIU VP, the FIU Associate manages day‑to‑day compliance related to transaction surveillance, ensuring completion of assigned activities in accordance with regulatory requirements (Bank Secrecy Act, Anti‑Money Laundering, OEFAC) and SMBC policies. Role Objectives Collaborate with the FIU VP to ensure the department’s compliance with all regulatory practices, including SAR filings, SMBC policies, and timely completion of surveillance activities. Maintain statistical reports on a weekly, monthly, quarterly, annual, or ad‑hoc basis for FIU management evaluation. Manage employee relations, workforce planning, and performance management for in‑scope members; identify and enable staff development and training. Work with the VP to improve processes and systems, drafting updates for policies and procedures. Review closed alerts within required time‑frames and report any quality or procedural issues to management. Maintain communication processes for sharing information with relationship managers, external entities, head office, and other branches or subsidiaries. Act as the unit’s interim lead in the absence of the VP, ensuring continuous functioning based on laws, regulations, internal policies, and procedures. Serve as subject‑matter expert and lead in projects related to FIU tools such as Forten, SAM8.5, Actimize, eRCM, C‑HUB, and others. Assist in providing documentation for internal and external auditors, bank departments, and regulators. Participate in additional tasks as required by the company, including Business Continuity efforts. Act as liaison between JRIA and FIU to identify and resolve issues in production. Provide training to new staff. Qualifications and Skills Strong-level knowledge of legal aspects and recordkeeping requirements of banking regulations related to transaction surveillance (especially AML, BSA, and OFAC). Expert-level knowledge of market practices related to compliance operations. Ability to direct staff and workflows in accordance with SMBC standards and practices. Strong sense of urgency and accountability; ability to work in high‑pressure, time‑sensitive environments with strong attention to detail. Expert-level knowledge of Forten, SAM8, Actimize, eRCM, C‑HUB, and other TSU‑related systems. Excellent written and verbal communication skills. Strong interpersonal skills. Experience with quality assurance activities. Strong management, influencing, and delegation skills. 5 to 7 years of specialized experience in Financial Services Compliance. CAMS or CFE preferred. SMBC’s employees participate in a hybrid workforce model that provides the opportunity to work from home as well as from an SMBC office. Employees are required to live within a reasonable commuting distance of their office location. SMBC provides reasonable accommodations for applicants with disabilities consistent with applicable federal, state, and local law. Please contact accommodations@smbcgroup.com if you need an accommodation during the application process. EOE, including Disability/veterans #J-18808-Ljbffr
Financial Intelligence Associate • New York, NY, United States
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