Communications Compliance Surveillance Vice President (Natural Language Processing)

 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 MANUBANK, 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 $144,000.00 and $180,000.00. 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

The Communications Surveillance Vice President role will report to the Lead of Transformation, Audit and Reporting within the Compliance Communications Surveillance function and will be instrumental in developing, deploying, and maintaining Natural Language Processing (NLP) and other model-based capabilities for the Communications Surveillance Program.

As a change agent, Communications Surveillance Vice President will play an integral role partnering with different areas of the Americas Division Technology, Compliance Analytics, Model Risk and Validation to leverage advance techniques to process, analyze and manage data sets subject of monitoring.

The Communications Surveillance Vice President will also play a role in the selection of vendor solutions to develop and deploy NLP to enhance detection of misconduct.

Additionally, the Communications Surveillance Vice President will be responsible for developing, maintaining, and supporting controls related to the existing communications program to ensure SMBC leverages the best possible technology to detect and prevent risks by identifying new trends of behaviors and minimizing false positives.

Role Objectives

• Oversee development, deployment, and maintenance of NLP in the Communications Surveillance program.
• Create strategy for addressing false positives, enhancing detection of risks in communications surveillance, and addressing new trends related to misconduct.
• Ensure that Service Level Agreements (SLAs) are being maintained and achieved from all upstream partners as it relates to NLP deliverables.
• Prepare metrics and reporting for management and stakeholders regarding related to the applicability and effectiveness of NLP in the communications surveillance program.
• Partner with Technology on developing plan, requirements, testing and implementation and maintenance of technology solutions.
• Partnering with the Model Risk Team for request submission for review and approval of use of NLP.

Qualifications and Skills

• Bachelor’s degree required.
• 5-8 years of experience in either legal or the financial industry
• Experience developing, deploying, and maintaining innovative processes, methodologies, and technologies for electronic legal discovery or communications surveillance.
• Experience developing, training, and deploying models.
• High level of comfort with technology solutions as it relates to electronic legal discovery or communications surveillance.

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. 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.

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.