Counsel, Investigator - Vice President - SMBC
New York, NY 10172
About the Job
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., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.
The anticipated salary range for this role is between $157,000.00 and $235,000.00. 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.
Role Description
Investigation roles are responsible for providing a single functional resolution for all (non-HR) investigations for SMBC. The Investigations team covers matters regarding: fraud, bribery, corruption, theft, financial accounting, internal accounting controls, other unethical conduct that violates SMBC’s Code of Conduct or an applicable rule, law, or regulation, and retaliation for having raised a claim regarding such matters. They manage intake and triage for all case leads and inquiries, conduct and coordinate investigative activity, produce case output to drive action by internal risk and control owners, and author and present reports to appropriate stakeholders. We are currently seeking an experienced professional to join this team.
Role Objectives
In this role, you will:
- Undertake investigations. Conduct these investigations in a timely manner, with discretion and in a professional manner engaging with all internal stakeholders as appropriate. Ensure all cases are formally closed with closure notes copied to all appropriate stakeholders.
- Ensure the quality and consistency of the investigations and the adequacy of the resourcing across the investigative program.
- Ensure significant investigations and issues are escalated quickly and clearly within the Legal Department and appropriate stakeholders.
- Communicate findings from investigations clearly and quickly to stakeholders.
- Establish appropriate procedures for investigations, adapting as necessary to comply with legal developments and evolving best practices.
- Support the Compliance Department, Human Resources Department, and other relevant stakeholders, in related mitigating efforts and action plans.
- Establish seamless, trusting, and mutually supportive relationships with the Compliance and Human Resources Departments.
Qualifications and Skills
Skills
- Strong analytical, decision-making, lateral thinking skills.
- Excellent oral and written communication skills, interpersonal skills, and dealing with executives across all levels.
- Experience investigating matters for investment banks, broker dealers, and swap dealers.
- Ability to understand and interpret complex business requirements, laws, rules, regulations, products, services, and operations.
- Awareness of regulatory and in-house operating environment and potential impact on businesses.
- Excellent judgment and decision-making skills – able to make business-aligned and timely decisions.
- Ability to priorities competing demands.
- Ability to work autonomously under pressure of tight deadlines.
- Ability to produce succinct and pertinent reporting.
- Japanese and/or Portuguese language skills a plus but not required.
Background
- 6-10 years of work as an attorney conducting internal investigations
Additional Requirements
D&I Commitment
Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.
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.
We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.