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- Tasks: Lead the CIB Compliance Advisory team, ensuring regulatory compliance and positive client outcomes.
- Company: Join SMBC Group, a trusted partner in universal banking with award-winning products.
- Benefits: Enjoy hybrid working, competitive leave, and wellness support including private medical insurance.
- Why this job: Be part of a dynamic team driving sustainable change in corporate finance and investment banking.
- Qualifications: Strong understanding of regulatory frameworks and experience in compliance within investment banking.
- Other info: We value diversity and welcome applications from all backgrounds, promoting an inclusive workplace.
The predicted salary is between 72000 - 108000 ÂŁ per year.
Private Side Advisory Compliance, CIB Lead, Director
Private Side Advisory Compliance, CIB Lead, Director
United by a sense of purpose towards our customers – to be a trusted partner for the long-term – and our universal banking platform in EMEA, SMBC Group has an international growth agenda and award-winning products, meaning we provide exciting opportunities to work on a diverse range of projects and initiatives. We deliver a full suite of corporate finance products and solutions to our customers as well as investment banking and advisory services, and a range of innovative solutions in global capital markets. Read on to find out how you could enhance your skills and gain valuable experience, by joining us to support our clients transition to a sustainable future.
Role Summary
Is the next step in your career at SMBC Group EMEA? We’re looking for a Director for our Compliance Department to join our team.
The lead CIB Compliance adviser is responsible for leading the CIB Compliance Advisory team in London. The role ensures that SMBC Group entities in the UK and EMEA maintain a robust compliance culture, meet regulatory expectations, and deliver positive outcomes for clients and markets. This includes anticipating regulatory developments, supporting new product initiatives, and embedding compliance considerations into business strategy and operations.
This role requires a strong understanding of the regulatory landscape affecting corporate and investment banking, including but not limited to Conduct Risk, MiFID II, MAR, and ESG-related regulations. The role also involves close collaboration with global compliance counterparts in Tokyo, APAC, and the Americas to ensure alignment on cross-border matters and global compliance standards.
The lead CIB Compliance adviser acts as a senior subject matter expert and credible challenger to business leadership, contributing to the development of a strong compliance framework and risk-aware culture across the CIB business.
This role primarily focuses on the firm’s Corporate Investment Banking business but may also support other businesses as and when required.
- Recognised Subject Matter Expert in regulatory frameworks applicable to private side activities, including Conduct Risk, MiFID II, MAR, ESG, and FCA rules.
- Demonstrated experience advising on compliance matters related to lending, structured finance, and advisory services within a universal or investment bank in particular for DCM, ECM and M&A.
- Strong understanding of global regulatory expectations and the ability to interpret and apply them in a practical business context.
Business Area
The Compliance Advisory function for CIB plays a critical role in ensuring that the Bank operates within the regulatory frameworks applicable to its Corporate and Investment Banking activities. This includes providing expert compliance advice and guidance to the Front, Middle, and Back Offices across a broad range of CIB products and services, including but not limited to lending, structured finance, advisory, and capital markets and advisory services.
Position Description
Internally, the role requires close collaboration with colleagues within the Private Side Advisory Compliance team, as well as with key stakeholders across the Front Office, Middle Office, and Back Office. This includes providing expert compliance advice and guidance on a wide range of private side activities such as lending, structured finance, project finance, Capital Markets and advisory services.
The role holder will support the Universal Bank initiative by contributing to the integration of compliance functions and the development of a control framework that is both efficient and aligned with global best practices. This includes promoting the sharing of “group and global” compliance standards across SMBC Group entities.
The role demands a strong understanding of significant and far-reaching regulatory developments affecting private side business activities, including those initiated by regulators in the UK, Europe, the USA, Hong Kong, and Japan. Key regulatory areas include Conduct Risk, MiFID II, MAR, ESG-related obligations, and cross-border compliance considerations.
From time to time, the role may also involve participation in internal investigations, including those related to customer complaints or other internal reviews, ensuring that private side compliance risks are appropriately identified, assessed, and addressed.
- Customer Focus
- Driving Change
- Driving Results
- Judgement and Decision Making
- Strategic and Visionary
- Trust and Integrity
What we offer
For all the expertise and experience you bring to help us make a difference, it’s only sustainable if we support you to build your career and be your best self so we offer competitive company benefits, centred around promoting positive well-bring and work-life balance. We also believe in fostering a diverse and inclusive work environment, where all team members perspectives and contributions are valued. Initiatives in place which promote a diverse and inclusive culture and healthy work life balance include hybrid working, Sport & Social Clubs and Diversity and Inclusion networks.
As an employee of SMBC you have access to a host of both useful and exciting benefit offerings. See below some of the benefits on offer to you:
- Hybrid and flexible working
- Competitive paid leave days
- Benefits to support your physical wellbeing, including private medical insurance and life and invalidity insurance
- Various policies to support your mental wellbeing, including a robust behavioural health network with counselling and coaching services
- Access a wide range of learning and development opportunities and career progression opportunities
So, if you like a challenge and want to continuously grow and develop in a role where you will be supported along the way by a dynamic and diverse team, apply today!!
We recognise our role as a bank to support social change and welcome all applications, including those from groups often under-represented in financial services. We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing the sustainable growth of our organisation. We’ll ensure reasonable adjustments to our recruitment process are offered due to a disability or long-term condition whenever requested.
Seniority level
-
Seniority level
Director
Employment type
-
Employment type
Full-time
Job function
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Job function
Finance
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Private Side Advisory Compliance, CIB Lead, Director employer: Sumitomo Mitsui Financial Group Inc.
Contact Detail:
Sumitomo Mitsui Financial Group Inc. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Private Side Advisory Compliance, CIB Lead, Director
✨Tip Number 1
Familiarise yourself with the latest regulatory developments in the corporate and investment banking sector. Understanding key regulations like MiFID II, MAR, and ESG-related obligations will not only enhance your knowledge but also demonstrate your commitment to compliance during discussions.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in private side advisory roles. Engaging with industry experts can provide you with insights into the role and may even lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss your experience with compliance frameworks and how you've successfully navigated complex regulatory environments in previous roles. Be ready to share specific examples that highlight your expertise and problem-solving skills.
✨Tip Number 4
Showcase your ability to collaborate across departments by discussing past experiences where you worked closely with front, middle, and back office teams. Highlighting your teamwork skills will be crucial, as this role requires strong internal collaboration.
We think you need these skills to ace Private Side Advisory Compliance, CIB Lead, Director
Some tips for your application 🫡
Understand the Role: Before applying, make sure you thoroughly understand the responsibilities and requirements of the Director position in Private Side Advisory Compliance. Tailor your application to highlight your relevant experience in compliance, particularly in corporate and investment banking.
Highlight Relevant Experience: In your CV and cover letter, emphasise your experience with regulatory frameworks such as Conduct Risk, MiFID II, and ESG regulations. Provide specific examples of how you've successfully navigated compliance challenges in previous roles.
Showcase Leadership Skills: As this role is for a Director, it's crucial to demonstrate your leadership capabilities. Include examples of how you've led teams or projects, particularly in compliance settings, and how you've contributed to a strong compliance culture within an organisation.
Tailor Your Application: Customise your cover letter to reflect your understanding of SMBC Group's values and mission. Mention how your personal goals align with their commitment to sustainability and client-focused service, making it clear why you're a great fit for their team.
How to prepare for a job interview at Sumitomo Mitsui Financial Group Inc.
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of the key regulations relevant to the role, such as Conduct Risk, MiFID II, and ESG-related obligations. Be prepared to discuss how these regulations impact corporate and investment banking activities.
✨Showcase Your Advisory Experience
Highlight your previous experience in compliance advisory roles, particularly within universal or investment banks. Be ready to provide examples of how you've successfully navigated complex compliance issues in lending, structured finance, or advisory services.
✨Demonstrate Collaboration Skills
Since the role involves working closely with various teams, emphasise your ability to collaborate effectively across departments. Share specific instances where you've worked with Front, Middle, and Back Offices to achieve compliance objectives.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your judgement and decision-making skills. Think about past situations where you had to make tough compliance decisions and be ready to explain your thought process and the outcomes.
