Job Descrption
SMBC: A trusted partner for the long term
Our internal opportunities aim to grow you professionally and personally. Be curious, expand your network and explore how your skills and knowledge can transfer into different roles and areas of SMBC. Even if your experience doesn't perfectly align with the job description 100%, we still welcome your application. Find the resources and support available to help you transition your career and flourish on our Internal Mobility page.
Section 2 - Purpose of Job
This role provides the role holder the opportunity to join a small newly formed team supporting the Deputy Head of EMEA CPD overseeing the day-to-day administrative and operational functions of the EMEA CPD Department. This team has the responsibility to deliver and implement a series of initiatives which span across business as usual and change activities covering the EMEA CPD Department that support the day to day functioning of the broader CPD department. EMEA CPD is made up of 3... separate sub-departments, Compliance, Financial Crime and Monitoring & Surveillance based primarily in London with additional teams located across EMEA. The key priorities for the role holder include:
• Together with the Deputy Head of EMEA CPD, partner with EMEA CPD Management to develop a consistent departmental strategy (including and IT Strategy) and mandate across the EMEA region that is designed to effectively manage Compliance and Financial Crime risk whilst ensuring a cohesive and effective EMEA CPD Department
• Support the Regional Chief Compliance Officer (SMF16 and 17) and the Deputy Head of EMEA CPD with the day to day operations of EMEA CPD co-ordinating across various departments, such as finance, sales, HR, ITSD as required.
• Participate in the development, running and management of an effective EMEA CPD department/business management framework
• Ensure CPD systems, controls, decision-making, risk and issue management are appropriately escalated, managed through to resolution, robustly documented and evidenced
• Coordinate across EMEA CPD to ensure timely and effective resolution of Monitoring and Surveillance, Audit (internal and external), Operational Risk matters and other internal or external findings. Implementing necessary governance to provide management with effective oversight of issue resolution, challenge etc.
• Coordinating inter-departmental activities that impact EMEA CPD, escalating any risks and issues to EMEA CPD management
• Drive initiatives that promote SMBC's culture and vision across EMEA CPD.
• Ensure compliance with legal and business ethics, maintaining a high standard of corporate governance.
• Participate in and, where appropriate, manage ad hoc strategic projects and change initiatives
Section 3 - Background
As a regulated entity the Bank has both a regulatory and statutory obligation to ensure it implements systems and controls necessary to mitigate the risks of the firm being used in connection with money laundering and/or the financing of terrorism or fraud.
The role sits within the Bank's 2nd line of defence and as such is responsible for leading on the implementation and embedding Compliance and financial crime change initiatives / strategic projects and regulatory driven initiatives.
Working in partnership with EMEA CPD Management and key stakeholders across EMEA to ensure the successful deployment of initiatives across the EMEA Compliance, Financial Crime and Monitoring and Surveillance Departments.
Section 4 - Facts / Scale
Main interfaces/relationships: TheEMEA CPD Management Team and the broader EMEA CPD members including EMEA MLROs/LCOs. The EMEA Head of Monitoring and Surveillance, the EMEA Head of Monitoring, Internal Audit, Information Technology, Operations Department, HR, Legal and the Central Change Programme Team.
Primary remit: to engage EMEA Compliance, Financial Crime and Monitoring and Surveillance department stakeholders to implement and run an effective EMEA CPD department/business management framework which in turn, ensuring the effective running of the EMEA CPD department.
Section 5 - Accountabilities & Responsibilities
• Support the Regional Chief Compliance Officer (SMF16 and 17) and the Deputy Head of EMEA CPD) with the day to day operations of EMEA CPD co-ordinating across various departments, such as finance, sales, HR, ITSD as required.
• Participate in the further development, running and management of an effective EMEA CPD department/business management framework
• Develop and implement a process to the creation and maintenance of EMEA CPD annual business plans, co-ordinating across EMEA CPD Stakeholders
• Ensure CPD systems, controls, decision-making, risk and issue management are appropriately escalated, managed through to resolution and robustly documented and evidenced
• Assisting with the management of EMEA CPD budgets, hiring and contracting, and business negotiations
• Participating in the compilation of departmental performance reports for CEO and board submission
• Coordinate across EMEA CPD to ensure timely and effective resolution of Monitoring and Surveillance, Audit (internal and external), Operational Risk matters and other internal or external findings. Implementing necessary governance to provide management with effective oversight of issue resolution, challenge etc.
• Coordinating inter-departmental activities that impact EMEA CPD, escalating any risks and issues to senior management
• Together with the Deputy Head of EMEA CPD, partner with EMEA CPD Management to develop a consistent departmental strategy (including and IT Strategy) and mandate across the EMEA region that is designed to effectively manage Compliance and Financial Crime risk whilst ensuring a cohesive and effective EMEA CPD Department
• Coordinating inter-departmental activities that impact EMEA CPD, escalating any risks and issues to senior management
• Drive initiatives that promote SMBC's culture and vision across EMEA CPD
• Ensure compliance with legal and business ethics, maintaining a high standard of corporate governance.
• Participating and where appropriate, manage ad hoc strategic projects and change
• Coordinating inter-departmental activities that impact EMEA CPD, escalating any risks and issues to senior management
Section 6 - Knowledge, Skills, Experience & Qualifications
• A bachelor's or master's degree in business administration or similar
• A working knowledge of UK and EU regulatory framework ideally gained through working within a Compliance/Financial Crime Department
• Solid work experience gained within the financial services industry, ideally within the banking sector.
• Strong understanding of business functions such as HR, Finance, marketing etc.
• Has extensive stakeholder management experience and adopts a proactive approach to stakeholder engagement and management, using initiative to meet with stakeholders and build strong relationships
• Has experience anticipating, identifying and managing risks through to resolution
• Excellent written and verbal communication skills.
• Good leadership and teamwork abilities.
• Good interpersonal and decision-making skills
• Ability to manage competing priorities
Section 7 - Challenges
The role holder will be required to manage and prioritise a diverse and challenging workload and balance competing priorities.
Section 8 - Dual-Hatting
Dual-Hat Details (only required if different to the employing entity details)
• Dual-Hat Job Title:
• Dual-Hat Line Manager:
• Dual-Hat Direct Reports:
• Dual-Hat Certification Regime:
Dual-Hat Roles and Responsibilities
• You will be required, from time to time, to undertake tasks on behalf of the dual-hat entity, as necessary.
Dual-Hat Conflict of Interest
• You will have responsibilities for both SMBC BI, SMBC London Branch, and Nikko CM
• You will be required to perform your duties and responsibilities on an entity neutral basis, without favour
• You are required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of SMBC BI, SMBC London Branch, and Nikko CM
• Working terms are dictated by functional mandates in place between SMBC BI, SMBC London Branch, and Nikko CM and any other relevant agreements entered into between SMBC BI, SMBC London Branch, and Nikko CM
• You have responsibility for identifying and resolving where there may be a difference or conflict in needs between SMBC BI, SMBC London Branch, and Nikko CM, escalating to your manager/Nominated Compliance officer where required
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
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