Presented By: University Career Center
SMBC Meet & Greets - Operations, Compliance, Audit, Transformation, Marketing
Our SMBC Meet and Greet Series is for all students seeking a 2024 internship or analyst opportunity with our firm. Each session will consist of overviews of the various groups that hire into our programs led bythe business members themselves followed by an open-forum Q&A session. Since each session will be different, students are encouraged to attend as many as they like.
Operations
Operations at SMBC in the Americas responsibilities span over two major groups that ensure internal and external reporting practices and procedures as well as client account transactions are accurate and appropriate.
Compliance
The Ethics Office missionis to promote desired business activities consistent with the firm’s Code of Conduct and Five Values, throughout the Americas Division. The Ethics Office also focuses on preventing and detecting misconduct by our businesses and employees.
Financial Crime Compliance
The Financial Crime Compliance (“FCC”) team oversees and manages the Anti-Money Laundering/Counter Terrorism Financing (“AML/CTF”), Sanctions, Anti-Bribery and Corruption (“ABC”), and Anti-Fraud programs across the Americas Division. The team is comprised of seasoned professionals dedicated to mitigating risk consistently within and across the region, its business lines, and its support functions.
Internal Audit Department – Americas Division
SMBC’s Internal Audit team is comprised of professional internal auditors who provide high quality, independent, and objective assurance and consulting services to various stakeholders. IAD’s leadership designed and implemented an organization structure that enables the audit professionals to fulfill its roles and responsibilities, aligned with regulatory and professional standards such as the Federal Reserve Bank’s Supervision and Regulation 13-1 (FRB SR13-1) and the IAA.
Corporate Marketing & Communications:
As part of SMBC Americas' strategy to build a commercially competitive Commercial Investment Bank, SMBC Americas Division’s Corporate Marketing & Communications is constantly innovating to raise SMBC’s profile in the Americas in terms of brand and business growth and as an employer of choice. CM&C is building and reinforcing SMBC’s brand; while enhancing jts reputation among key stakeholders, clients, and investors.
Operations
Operations at SMBC in the Americas responsibilities span over two major groups that ensure internal and external reporting practices and procedures as well as client account transactions are accurate and appropriate.
Compliance
The Ethics Office missionis to promote desired business activities consistent with the firm’s Code of Conduct and Five Values, throughout the Americas Division. The Ethics Office also focuses on preventing and detecting misconduct by our businesses and employees.
Financial Crime Compliance
The Financial Crime Compliance (“FCC”) team oversees and manages the Anti-Money Laundering/Counter Terrorism Financing (“AML/CTF”), Sanctions, Anti-Bribery and Corruption (“ABC”), and Anti-Fraud programs across the Americas Division. The team is comprised of seasoned professionals dedicated to mitigating risk consistently within and across the region, its business lines, and its support functions.
Internal Audit Department – Americas Division
SMBC’s Internal Audit team is comprised of professional internal auditors who provide high quality, independent, and objective assurance and consulting services to various stakeholders. IAD’s leadership designed and implemented an organization structure that enables the audit professionals to fulfill its roles and responsibilities, aligned with regulatory and professional standards such as the Federal Reserve Bank’s Supervision and Regulation 13-1 (FRB SR13-1) and the IAA.
Corporate Marketing & Communications:
As part of SMBC Americas' strategy to build a commercially competitive Commercial Investment Bank, SMBC Americas Division’s Corporate Marketing & Communications is constantly innovating to raise SMBC’s profile in the Americas in terms of brand and business growth and as an employer of choice. CM&C is building and reinforcing SMBC’s brand; while enhancing jts reputation among key stakeholders, clients, and investors.
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