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Compliance Testing Analyst at SMBC Hong Kong Branch

, , India -

Full Time

Start Date

Immediate

Expiry Date

26 Dec, 25

Salary

0.0

Posted On

27 Sep, 25

Experience

0 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Internal Audit, Risk Assessment, Compliance Testing, Monitoring, Reporting, Compliance Action Plan, Department Coordination

Industry

Financial Services

Description

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 1876, we put our customers first and provide seamless access to, from and within the Asia Pacific region. SMBC is one of the largest Japanese banks by assets and maintain strong credit ratings across our global integrated network. We work closely as one SMBC Group to offer personal, corporate and investment banking services to meet the needs of our customers. With sustainability embedded within our strategy and operations, we are committed to creating a society in which today’s generation can enjoy economic prosperity and well-being, and pass it on to future generations. Conduct Compliance testing and monitoring as per Head Office and RBI guidelines (including submission of Tranche data). Submit the report to Management and Local Management Committee. Carry out Compliance Risk Assessment and Compliance Action Plan on annual basis. Follow up with the Heads of the Department to ensure closure and rectification of the Compliance Observations. (a) Knowledge (b) Skills (c) Experience (d) Qualifications (a) Knowledge: Understanding of Compliance Functions of FIs (preferably foreign Banks) (b) Skills: Compliance, Staff having experience in Internal Audit of the banks (preferably foreign banks). (c) Experience: Fresher (for P2) from good college /university or experienced staff having 2-5 years of relevant experience in this field (P4). (d) Qualification: Bachelors / Masters in relevant fields. Professional degrees /diploma preferred.

Responsibilities

Conduct compliance testing and monitoring according to guidelines and submit reports to management. Carry out compliance risk assessments and ensure closure of compliance observations with department heads.