Corporate Compliance Program Governance Associate


This role will support the Compliance Program Governance team in overseeing the Corporate Compliance Budget process for the Americas Division of SMBC. This role will report into the Director of Compliance Governance.

The anticipated salary range for this role is between $79,000 and $128,000. 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.


  • Oversee the budget process within Corporate Compliance, ensure its consistent application and facilitate ongoing communication, escalation, and resolution through standardized communication routines and tools.
  • Liaise with the Compliance Expat team to ensure Head Office approvals are obtained as necessary.
  • Monitor various systems/platforms related to payments of invoices and ensure timely approval and payment.
  • Prepare budget training materials and conduct training sessions for the Corporate Compliance Vertical Heads and subfunction leads.
  • Lead the annual budget exercise, including preparing kickoff materials and data collection templates, facilitating communication with the Corporate Compliance Vertical Heads and subfunction leads, overseeing data collection and analysis, and preparing initial and final results for presentation to Compliance Management.
  • Coordinate with the Financial Crime Compliance Program Governance team to ensure budget processes and timelines are aligned across the Compliance Department.
  • Support the Program Governance team on the annual Staffing Needs Assessment exercise, including attending the kickoff meeting, facilitating communication with Corporate Compliance Vertical Heads and subfunction leads, assisting with data collection and input into the SNA tool, and preparing initial and final results for presentation to Compliance Management.


  • 4+ years of direct, relevant experience in financial service operations, compliance, finance.
  • Superior organizational skills, with proven ability to successfully manage multiple, concurrent priorities and adapt as necessary.
  • Demonstrated relationship management skills with ability to build partnerships across teams.
  • Detail oriented with proven ability to challenge and identify opportunities for enhancements within existing processes and practices by leveraging previous experiences.
  • Strong interpersonal skills and ability to collaborate with stakeholders to drive results.
  • Strong Microsoft Excel and PowerPoint skills required.
Job Category
Job Type
Career Level