Singapore · On-site
The Regulatory and RTT Controls Lead, will support PWG in ensuring adherence to all applicable regulatory and other requirements relevant to client onboarding and account life cycle of our high-net-worth clients. You wil…
Skills: Client Onboarding, Account Maintenance, Regulatory Compliance, Product Suitability, Tax Review
Singapore · On-site
The Private Wealth Office Controls Manager plays a pivotal role in ensuring the smooth operation of PWG office administration pertaining to activities inherent to PWG client relationship establishment and maintenance. Ac…
Skills: Office Administration, Budget Tracking, Expense Management, Calendar Management, Stakeholder Coordination
Singapore · On-site
Job Responsibilities Coordinate outsourcing governance activities, including due diligence, risk assessments, and periodic reviews. Monitor vendor performance and service level agreements (SLAs). Maintain outsourcing inv…
Skills: Outsourcing Governance, Vendor Management, Risk Management, Stakeholder Management, Expatriate Benefits Administration
New York, New York, United States · Hybrid
$145k–$185k/yr
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 cons…
Skills: Liquidity Risk Management, Regulatory Frameworks, Stress Testing, Project Planning, Financial Market Analysis
Miami, Florida, United States · Hybrid
$100k–$175k/yr
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 cons…
Skills: Aircraft Transition Project Management, Technical Negotiation, Budgeting, Contractor Management, Customer Liaison
City of White Plains, New York, United States · Hybrid
$190k–$196k/yr
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 cons…
Skills: Java, SQL, Azure, Unix, Production Incident Management
Malaysia · On-site
Headquartered in Tokyo, Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution and a core member of Sumitomo Mitsui Financial Group (SMBC Group). Built upon our rich Japanese heritage since …
Skills: Credit Recovery, Credit Analysis, Credit Review, Financial Statement Analysis, Cash Flow Projection
Charlotte, North Carolina, United States · Hybrid
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 cons…
Skills: IT Audit, GRC, Information Security, Risk Management, Regulatory Compliance
Charlotte, North Carolina, United States · Hybrid
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 cons…
Skills: Oracle Fusion Cloud EPM, Financial Consolidation and Close, Account Reconciliation, EDM, Reporting
New York, New York, United States · Hybrid
$157k–$225k/yr
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 cons…
Skills: Interest Rate Options, Pricing Methodology, Risk Analysis, Excel VBA, Java
New York, New York, United States · Hybrid
$145k–$196k/yr
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 cons…
Skills: Azure Databricks, Generative AI, Machine Learning, Python, SQL
Singapore · On-site
Headquartered in Tokyo, Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution and a core member of Sumitomo Mitsui Financial Group (SMBC Group). Built upon our rich Japanese heritage since …
Skills: Credit Analysis, Due Diligence, Corporate Finance, Financial Analysis, Credit Risk Management
Thailand · On-site
Headquartered in Tokyo, Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution and a core member of Sumitomo Mitsui Financial Group (SMBC Group). Built upon our rich Japanese heritage since …
Skills: HR Business Partnering, Talent Acquisition, Performance Management, People Management, Problem Solving
Charlotte, North Carolina, United States · Hybrid
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 cons…
Skills: Data Quality, Data Governance, Collibra, SQL, ETL
Singapore · On-site
Job Responsibilities Track project schedules, resources, and basic budgets Support hiring, vendor coordination, and contract administration Organize and maintain SharePoint and Teams environments Prepare meeting material…
Skills: Project Tracking, Budget Support, Vendor Coordination, Contract Administration, SharePoint
Malaysia · On-site
Headquartered in Tokyo, Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution and a core member of Sumitomo Mitsui Financial Group (SMBC Group). Built upon our rich Japanese heritage since …
Skills: Wintel Infrastructure, Nutanix AHV, Windows Server, Linux, VMware vSphere
New York, New York, United States · Hybrid
$170k–$235k/yr
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 cons…
Skills: Business Management, Transformation Management, Strategy Execution, Program Management, Portfolio Governance
New York, New York, United States · Hybrid
$80k–$115k/yr
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 cons…
Skills: Business Analysis, Data Analysis, Agile Methodology, User Story Creation, Requirement Gathering
Charlotte, North Carolina, United States · Hybrid
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 cons…
Skills: Budget Management, Financial Planning, Expense Oversight, Variance Analysis, Data Analysis
Los Angeles, California, United States · Hybrid
$150k–$200k/yr
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 cons…
Skills: Client Engagement, Origination & Marketing, Market & Sector Research, Deal Execution, Financial Modeling
Singapore • On-site
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Lead the regulatory and RTT controls for client onboarding and account lifecycle management for high-net-worth clients. Ensure adherence to tax and suitability requirements while managing escalations and implementing process efficiencies.
Requires a bachelor's degree in Finance, Business, Economics, or Law with at least 10 years of experience in banking or wealth management. Candidates should possess strong knowledge of financial products, regulatory standards, and proficiency in CRM tools.
The Regulatory and RTT Controls Lead, will support PWG in ensuring adherence to all applicable regulatory and other requirements relevant to client onboarding and account life cycle of our high-net-worth clients. You will handle client, product suitability, tax and other regulatory checks and advisory as well as manage any related escalation to 2nd LoD, whether at onboarding or during the client account lifecycle. You will also ensure that all related data points are appropriately maintained, and support regulatory change initiatives and/or client outreach to ensure a smooth and efficient client experience.
Key Responsibilities:
Qualifications:
Skills & Attributes:
Sumitomo Mitsui Banking Corporation
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 150 offices and 120,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo and Nagoya stock exchanges, and its ADRs trade on the New York Stock Exchange (NYSE: SMFG). Americas: https://www.smbcgroup.com/ EMEA: https://www.smbcgroup.com/emea/ APAC: https://www.smbc.co.jp/asia/ Tokyo: https://www.smfg.co.jp/english/
Offices: 1丁目 1-2, Marunouchi Chiyoda-Ku,, Tokyo, JP · Sumitomo Mitsui Banking Corporation 277 Park Avenue, New York, NY 10172, US · Plaza de la Paz, 102, int. 901, Silao, Guanajuato CP36275, MX · Edward Street, George Town, Grand Cayman, Cayman Islands KY1, KY · 14241 Dallas Pkwy, Suite 660, Dallas, Texas 75254, US
Sumitomo Mitsui Banking Corporation
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 150 offices and 120,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo and Nagoya stock exchanges, and its ADRs trade on the New York Stock Exchange (NYSE: SMFG). Americas: https://www.smbcgroup.com/ EMEA: https://www.smbcgroup.com/emea/ APAC: https://www.smbc.co.jp/asia/ Tokyo: https://www.smfg.co.jp/english/
Offices: 1丁目 1-2, Marunouchi Chiyoda-Ku,, Tokyo, JP · Sumitomo Mitsui Banking Corporation 277 Park Avenue, New York, NY 10172, US · Plaza de la Paz, 102, int. 901, Silao, Guanajuato CP36275, MX · Edward Street, George Town, Grand Cayman, Cayman Islands KY1, KY · 14241 Dallas Pkwy, Suite 660, Dallas, Texas 75254, US
