Market Risk Governance Associate

Market Risk Governance Associate

SMBC Capital Markets, Inc. (CM) is seeking a Risk Governance Associate within its Risk Management Department. This role will oversee coverage across SMFG Combined U.S. Operations (CUSO), including CM and SMBC Nikko Securities America, Inc., with a focus on centralizing efforts to enhance the efficiency of our risk organization in the US. The Associate will collaborate with teams in the Front Office, Finance, Accounting, Compliance, Legal, and Audit, while leveraging resources within the Risk Management Department, to cover the risk governance framework overseeing market risk across the banking book, derivatives, and securities products.

Role Objectives : Delivery

• Maintain entity level Risk Governance in compliance with CFTC / NFA and SEC / FINRA regulations and uphold the risk governance framework for CUSO Market Risk under FRB and other regulations.
• Maintain entity level Risk Appetite Framework, collaborating with relevant departments and securing approvals.
• Manage risk policies and procedures to reflect evolving risk frameworks.
• Assist in preparing risk materials for Senior Management and governing bodies.
• Support other Risk Governance and Enterprise Risk matters, such as the New Business / Product Approval process and Risk & Control Self-Assessment (RCSA) coordination.

Role Objectives : Interpersonal

Role Objectives : Expertise

Knowledge

Communication

Qualifications and Skills

Qualifications Education : Required BA / BS Work Experience : 3+ years of experience in the financial services industry, preferably in risk management or compliance. Prior experience with policies and procedures management, risk governance, and / or coordinating with internal / external auditors and regulators is highly preferred. Excellent verbal and written communication skills, including business writing, presentation drafting, and public speaking. Strong critical thinking skills. Software Systems / Programming Languages : Microsoft Office Suite. Strong Excel, Word and PowerPoint skills. Language Skills : Business fluency in English required, Japanese preferred. Other Skills, Abilities and / or Training Highly organized and detail-oriented, and strong multi-tasking and time management skills in a fast-paced environment. Project management experience preferred. Ability to understand, communicate with, and effectively interact with people across cultures.

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.