Head of Compliance Culture

Head Of Compliance Culture

The Head of Compliance Culture will oversee and lead the firm's Culture of Compliance program. This role includes the critical responsibility of managing the communication, awareness, and training framework aimed at supporting the firm's culture, valued behaviors and reinforcing SMBC's commitment to integrity. Collaborating with key stakeholders across first-line business units and second-line functions, this leader will ensure alignment with the firm's cultural expectations.

The anticipated salary range for this role is between $208,000.00 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 Objectives

• Lead the development and execution of the centralized culture of compliance program, including the creation and maintenance of the communication, awareness, and training program.
• Implement communication and awareness campaigns to enhance employee engagement around culture initiatives.
• Design training programs to embed the firm's cultural values across the organization, focusing on the importance of SMBC's Five Values, as the foundation of behaviors expected of all employees.
• Administer the annual Ethics and Culture survey to understand employee perceptions about our culture and ethical business practices.
• Lead and organize large scale events to celebrate Compliance-led Culture efforts to reinforce the firm's culture of compliance.
• Partner with business heads and risk functions to enhance awareness of culture trends and themes, providing strategic advice and insights on maintaining and strengthening the firms culture of compliance.
• Foster strong relationships with compliance teams, business lines, and key support functions such as Legal, HR, and Risk Management to drive alignment and ensure informed decision-making.
• Stay current with regulatory expectations related to compliance culture and industry developments, to inform and continuously improve the Culture of Compliance program.
• Champion the implementation of the culture training strategy, promoting an inclusive and ethical work environment that aligns with the firm's cultural values.

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.