SMBC Group · 16 hours ago
Director, Head of Employee Compliance
Jersey City, NJ
Full-time
Hybrid
Senior Level, Lead/Staff
$198K/yr - $240K/yr
10+ years expSMBC Group is a top-tier global financial group offering a diverse range of financial services. The Head of Employee Compliance will lead the execution and enhancement of the Employee Compliance Program across SMBC’s Americas Division, ensuring compliance with firm and regulatory expectations while managing a team responsible for critical compliance areas.
AdviceBankingFinancial Services
Responsibilities
Own and lead the Employee Compliance Program across the Americas Division, serving as the primary escalation point for complex matters and sensitive decisions
Manage and develop a team of managers and professionals responsible for core program areas including employee registrations, personal trading, outside business activities, and political contributions
Set program strategy and priorities in partnership with the Head of the Ethics Office, translating risk themes into a clear annual plan and measurable outcomes
Strengthen the control environment by defining standards, procedures, and escalation thresholds; ensuring consistent execution and timely remediation of issues
Build a metrics-driven program by establishing and monitoring key indicators (e.g., timeliness, quality, exception trends, control effectiveness) and using insights to continuously improve
Drive process and productivity improvements through simplification, targeted automation, and pragmatic change management—reducing friction while increasing control effectiveness
Partner across the firm (Front Office, Technology, Compliance, HR, Operations, and Legal) to solve problems quickly, influence decisions, and deliver aligned outcomes
Ensure readiness for audit and testing by maintaining strong documentation, evidence, and issue management discipline; coordinate effectively with Internal Audit and Monitoring & Testing
Oversee third-party and vendor support where applicable, including service performance, controls, and adherence to third-party risk management requirements
Lead with high standards—mentoring talent, providing clear feedback, and fostering a culture of accountability, integrity, and sound judgment
Qualification
Required
10+ years of relevant experience in employee compliance, an ethics office, or a closely related compliance function within a financial services environment
Proven people leader with experience building, coaching, and retaining strong teams; able to create clarity, accountability, and high performance
Deep program ownership mindset—able to run a large control program end-to-end (policy/process design, execution, governance, metrics, issue management)
Strong working knowledge of employee compliance risk areas (e.g., personal trading, outside business activities, political contributions, registrations/licensing) and how these intersect with conflicts of interest and conduct risk
Exceptional judgment and discretion handling highly confidential matters with integrity and professionalism
Excellent stakeholder management and communication skills—able to influence at senior levels and translate complex topics into clear, practical guidance
Strong execution and project management capability—comfortable managing multiple priorities, deadlines, and cross-functional dependencies
Analytical and detail-oriented with the ability to identify trends, diagnose root causes, and implement sustainable fixes
Comfort with data and systems—able to partner with Technology, improve data quality, and leverage reporting/automation to enhance control effectiveness
Preferred
Bachelor's degree preferred; advanced degree a plus
FINRA registration a plus
Benefits
Competitive portfolio of benefits
Company
SMBC Group
SMBC Group is a top-tier global financial group.
10001+ employees
H1B Sponsorship
SMBC Group has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (160)
2024 (87)
2023 (73)
2022 (44)
2021 (29)
2020 (26)
Funding
Current Stage
Late StageLeadership Team
Hirofumi Otsuka
Senior Managing Executive Officer & CEO of Americas Division
Juan Kreutz
Head of Structured Finance Solutions and Deputy Head of the Americas
Recent News
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