Operations Exam Support Analyst

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

Role Description

The Operations Examination Support (OES) Team Analyst supports the centralized coordination of internal and external audits and regulatory examinations across AD Operations, including Loan Services, Settlement Operations (SOPS), and Treasury Operations (TROPS). The analyst assists with managing audit and examination requests, tracking issue remediation, preparing management information systems (MIS) reports, and supporting ad hoc initiatives to facilitate timely, accurate responses in accordance with company policies, procedures, and documentation standards.

Scope of Responsibilities

- Support one or more Operations business lines within the centralized OES function, with assignments that may extend across AD Operations, including the Cayman Branch.

- Facilitate coordination and communication among Operations, Technology, Compliance, Internal Audit, external auditors, regulators, and other stakeholders.

- Support OES team members who serve as primary points of contact for audits and regulatory examinations.

- Assist BCDAD operating units in coordinating audit and examination responses in accordance with company standards.

- Adapt to evolving departmental needs and regulatory requirements.

Responsibilities

- Coordinate and track requests from internal auditors, external auditors, and regulators throughout the audit and examination lifecycle, including first-day letters, follow-up requests, and delivery of supporting documentation.

- Assist with reviewing submitted documentation for completeness, accuracy, and alignment with request requirements before escalation.

- Support issue management by tracking remediation activities and assisting with the preparation of closure documentation.

- Maintain centralized trackers, dashboards, and the OES Empowered Case Management System (CMS) to track and report on examinations, reviews, document requests, and issues.

- Support the ongoing maintenance and enhancement of the OES SharePoint site.

- Collect, validate, reconcile, and analyze data to support MIS reporting, examination and issue reporting, and operational risk metrics.

- Prepare status updates for management and monthly and quarterly reports, including system-generated reports.

- Collaborate with BCDAD Operations and the OES team to identify requirements and gather supporting materials for audit responses.

- Coordinate communications among BCDAD, CEOAD, Controllers, and external auditors during annual self-assessments and audits, and liaise with the ITAC testing team as needed.

- Generate population reports to support auditor sample selection and assist BCDAD business lines in compiling relevant sample documentation.

- Support project coordination, task management, and ad hoc initiatives involving examination support, governance, reporting enhancements, and process improvements.

- Adhere to internal policies, procedures, and documentation standards.

Qualifications and Skills

- Strong organizational, coordination, and prioritization skills.

- Strong attention to detail and the ability to manage multiple concurrent requests and competing priorities.

- Experience in data analysis, reconciliation, trade credit, commercial lending, and reporting support is preferred.

- Proficiency in Microsoft Office 365 and Power BI.

- Strong written and verbal communication skills.

Additional Requirements

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 [email protected].