Private Side Advisory Compliance, CIB Lead, Director

Who we are

United by a sense of purpose towards our customers – to be a trusted partner for the long-term – and our universal banking platform in EMEA, SMBC Group has an international growth agenda and award-winning products, meaning we provide exciting opportunities to work on a diverse range of projects and initiatives. We deliver a full suite of corporate finance products and solutions to our customers as well as investment banking and advisory services, and a range of innovative solutions in global capital markets. Read on to find out how you could enhance your skills and gain valuable experience, by joining us to support our clients transition to a sustainable future.

Role Summary

Is the next step in your career at SMBC Group EMEA? We’re looking for a Director for our Compliance Department to join our team.

The lead CIB Compliance adviser is responsible for leading the CIB Compliance Advisory team in London. The role ensures that SMBC Group entities in the UK and EMEA maintain a robust compliance culture, meet regulatory expectations, and deliver positive outcomes for clients and markets. This includes anticipating regulatory developments, supporting new product initiatives, and embedding compliance considerations into business strategy and operations.

This role requires a strong understanding of the regulatory landscape affecting corporate and investment banking, including but not limited to Conduct Risk, MiFID II, MAR, and ESG-related regulations. The role also involves close collaboration with global compliance counterparts in Tokyo, APAC, and the Americas to ensure alignment on cross-border matters and global compliance standards.

The lead CIB Compliance adviser acts as a senior subject matter expert and credible challenger to business leadership, contributing to the development of a strong compliance framework and risk-aware culture across the CIB business.

This role primarily focuses on the firm’s Corporate Investment Banking business but may also support other businesses as and when required.

• Recognised Subject Matter Expert in regulatory frameworks applicable to private side activities, including Conduct Risk, MiFID II, MAR, ESG, and FCA rules.
• Demonstrated experience advising on compliance matters related to lending, structured finance, and advisory services within a universal or investment bank in particular for DCM, ECM and M&A.
• Strong understanding of global regulatory expectations and the ability to interpret and apply them in a practical business context.

Business Area

The Compliance Advisory function for CIB plays a critical role in ensuring that the Bank operates within the regulatory frameworks applicable to its Corporate and Investment Banking activities. This includes providing expert compliance advice and guidance to the Front, Middle, and Back Offices across a broad range of CIB products and services, including but not limited to lending, structured finance, advisory, and capital markets and advisory services.

Position Description

Internally, the role requires close collaboration with colleagues within the Private Side Advisory Compliance team, as well as with key stakeholders across the Front Office, Middle Office, and Back Office. This includes providing expert compliance advice and guidance on a wide range of private side activities such as lending, structured finance, project finance, Capital Markets and advisory services.

The role holder will support the Universal Bank initiative by contributing to the integration of compliance functions and the development of a control framework that is both efficient and aligned with global best practices. This includes promoting the sharing of “group and global” compliance standards across SMBC Group entities.

The role demands a strong understanding of significant and far-reaching regulatory developments affecting private side business activities, including those initiated by regulators in the UK, Europe, the USA, Hong Kong, and Japan. Key regulatory areas include Conduct Risk, MiFID II, MAR, ESG-related obligations, and cross-border compliance considerations.

From time to time, the role may also involve participation in internal investigations, including those related to customer complaints or other internal reviews, ensuring that private side compliance risks are appropriately identified, assessed, and addressed.

Competencies

• Customer Focus
• Driving Change
• Driving Results
• Embraces Diversity
• Enterprise Leadership
• Judgement and Decision Making
• Risk Management
• Strategic and Visionary
• Trust and Integrity

What we offer

For all the expertise and experience you bring to help us make a difference, it’s only sustainable if we support you to build your career and be your best self so we offer competitive company benefits, centred around promoting positive well-bring and work-life balance. We also believe in fostering a diverse and inclusive work environment, where all team members perspectives and contributions are valued. Initiatives in place which promote a diverse and inclusive culture and healthy work life balance include hybrid working, Sport & Social Clubs and Diversity and Inclusion networks.

As an employee of SMBC you have access to a host of both useful and exciting benefit offerings. See below some of the benefits on offer to you:

• Hybrid and flexible working
• Competitive paid leave days
• Benefits to support your physical wellbeing, including private medical insurance and life and invalidity insurance
• Various policies to support your mental wellbeing, including a robust behavioural health network with counselling and coaching services
• Access a wide range of learning and development opportunities and career progression opportunities
• Ambitious remuneration package

So, if you like a challenge and want to continuously grow and develop in a role where you will be supported along the way by a dynamic and diverse team, apply today!!

We recognise our role as a bank to support social change and welcome all applications, including those from groups often under-represented in financial services. We value the uniqueness of professional and personal, backgrounds and perspectives as they play a vital role in continuing the sustainable growth of our organisation. We’ll ensure reasonable adjustments to our recruitment process are offered due to a disability or long-term condition whenever requested.