Corporate Compliance Analyst
Listed on 2026-10-10
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Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Risk Manager/Analyst, Corporate Finance
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Corporate Compliance AnalystRegular Full-Time AB New York, New York, NY, US
Salary Range: $ To $ Annually
This role is located in New York City and will require a hybrid work schedule of at least 2 days in office per week.This role is for Assistant Vice President level candidates.
About the BankSumitomo Mitsui Trust Bank, Limited was established through the merger of The Sumitomo Trust and Banking Co., Ltd with Chuo Mitsui Trust and Banking, Ltd. on April 1, 2012. We are one of the largest asset managers in Asia and number one among Japanese financial institutions by AUM, with approximately $850 Billion USD in AUM. The Bank provides an assortment of financial solutions and manages a broad spectrum of financial products across its global branches.
DepartmentOverview
The Americas Division (“AD”) was established in the Sumitomo Mitsui Trust Bank, Limited, New York Branch) (“SMTBNY”) to perform corporate functions and supervise U.S. entities. Established under the AD are the “Global Banking Unit (“GBU”), Americas Division” and “Global Markets Unit (“GMU”), Americas Division” which performs business functions. Management (“MGT”) applies advanced knowledge of the Bank to implement processes and procedures and achieve strategic goals.
The Regulatory Compliance Department (“RCD”) provides support to all departments of the New York Branch for regulatory compliance related advice, monitoring, self-testing, and reporting in order to reduce regulatory risk of Sumitomo Mitsui Trust Bank, Limited (“SMTB”).
Role Overview
The Corporate Compliance Analyst supports the AD’s Regulatory Compliance Department (“RCD”) in maintaining and enhancing the Corporate Compliance framework for the AD. The role is responsible for monitoring regulatory developments, assessing compliance risks, conducting testing and reviews, supporting regulatory examinations, and helping ensure adherence to applicable federal and state banking laws, regulations, and supervisory guidance.
The ideal candidate possesses a strong understanding of the regulatory environment governing U.S. branches and agencies of foreign banking organizations, including requirements established by the Federal Reserve Board (FRB), New York State Department of Financial Services (NYDFS), and other applicable regulatory authorities.
The Corporate Compliance Analyst is responsible for identifying and developing criteria and commentary on critical compliance issues across the Bank. Drafts new and existing policies and procedures to ensure that the AD meets the requirement of various legal and regulatory agencies. Ensures ongoing improvement and evolution of governance programs and identifies risks and/or gaps in the Program.
Your Duties and Responsibilities- Regulatory Compliance Monitoring
- Monitor and analyze changes in federal and state banking laws, regulations, supervisory guidance, and enforcement actions.
- Assess the impact of regulatory changes on AD and coordinate implementation efforts with business and control functions.
- Enhance and update AD’s regulatory inventory and compliance obligations framework.
- Corporate Compliance Risk Management
- Assist in the identification, assessment, monitoring, and reporting of compliance risks across business lines and operational functions.
- Lead the annual Corporate Compliance risk assessment process and make ongoing enhancements to the risk assessment process.
- Maintain and enhance the Corporate Compliance Testing Program.
- Conduct Corporate Compliance Testing, make appropriate recommendations in relation to identified issues, and track compliance issues / corrective action…
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