Regulatory Officer, Associate; Exam Management

Role Description

The Regulatory Relations and Public Policy Group ("RRPP") is dedicated to managing supervisory engagements and advising on governmental and regulatory strategy in support of SMBC's enterprise goals and business strategies. The Regulatory Relations team is the primary contact for regulatory interactions and exam management for U.S. regulators.

This role is responsible for supporting regulatory examination and/or advisory services including, but not limited to:

• Participating in all phases of the regulatory examination lifecycle such as responding to entry letters and information requests; preparing responses; documentation and presentations; coordinating and documenting key meetings with stakeholders; and recordkeeping and reporting.
• Performing due diligence reviews to ensure the quality of the documentation before submission to the regulators.
• Notifying senior management and other relevant personnel of upcoming examinations and advises on scope, focus and expectations.
• Coordinating routine continuous monitoring meetings with regulators and firm employees to ensure regulatory needs are addressed; documenting the content of meetings and timely communicating to senior management and relevant parties.
• Tracking the status of regulatory inquiries, exams, reviews and findings and circulates information in periodic status reports.
• Maintaining regulatory communications, transmittal letters, management responses, and remediation actions.
• Escalating potential issues observed during or outside the exams and reviews to ensure proper resolution.
• Working closely with all Regulatory Relations team members and assisting with other Regulatory Relations functions as needed.

• College degree or equivalent required. Graduate, law or business degree recommended.
• At least 3 years of financial services experience at a regulator, bank or law firm. Prior experience with financial services regulator or FBO and/or a background in finance, accounting or risk management is strongly preferred.
• Strong project management skills supporting examinations and regulatory projects for the financial services industry.
• General understanding of financial markets and financial services regulatory requirements.
• Attention to detail with ability to complete work accurately and in a timely manner against strict deadlines.
• Proficient in organizing and tracking progress on multiple tasks and projects with strong follow through and time management skills.
• Ability to work independently under moderate supervision.
• Excellent analytical, verbal and written communication skills.

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

EOE, including Disability/veterans

The anticipated salary range for this role is between $82,000.00 and $. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award.

In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.