Director, Head of Employee Compliance
About The Position
The Head of Employee Compliance leads the day-to-day execution and continuous enhancement of the Employee Compliance Program across SMBC’s Americas Division. Reporting to the Head of the Ethics Office, this role is the program owner and subject matter expert responsible for designing, operating, and maturing the control framework that helps employees meet firm and regulatory expectations. This leader drives a high-impact portfolio spanning employee registrations and licensing, personal trading and investment account monitoring, outside business activities, political contributions, and related conflicts of interest and conduct topics. The role partners closely with the Front Office, Operations, HR, Technology, Internal Audit, and Monitoring & Testing to ensure processes are efficient, data is reliable, risks are identified early, and issues are escalated with appropriate judgment. In addition to running the program, the role brings a forward-looking mindset, using metrics, root-cause analysis, and automation to strengthen controls, improve the employee experience, and keep pace with evolving regulatory and business expectations.
Requirements
- 10+ years of relevant experience in employee compliance, an ethics office, or a closely related compliance function within a financial services environment.
- Proven people leader with experience building, coaching, and retaining strong teams; able to create clarity, accountability, and high performance.
- Deep program ownership mindset—able to run a large control program end-to-end (policy/process design, execution, governance, metrics, issue management).
- Strong working knowledge of employee compliance risk areas (e.g., personal trading, outside business activities, political contributions, registrations/licensing) and how these intersect with conflicts of interest and conduct risk.
- Exceptional judgment and discretion handling highly confidential matters with integrity and professionalism.
- Excellent stakeholder management and communication skills—able to influence at senior levels and translate complex topics into clear, practical guidance.
- Strong execution and project management capability—comfortable managing multiple priorities, deadlines, and cross-functional dependencies.
- Analytical and detail-oriented with the ability to identify trends, diagnose root causes, and implement sustainable fixes.
- Comfort with data and systems—able to partner with Technology, improve data quality, and leverage reporting/automation to enhance control effectiveness.
- Bachelor’s degree preferred; advanced degree a plus.
Nice To Haves
- FINRA registration a plus
Responsibilities
- Own and lead the Employee Compliance Program across the Americas Division, serving as the primary escalation point for complex matters and sensitive decisions.
- Manage and develop a team of managers and professionals responsible for core program areas including employee registrations, personal trading, outside business activities, and political contributions.
- Set program strategy and priorities in partnership with the Head of the Ethics Office, translating risk themes into a clear annual plan and measurable outcomes.
- Strengthen the control environment by defining standards, procedures, and escalation thresholds; ensuring consistent execution and timely remediation of issues.
- Build a metrics-driven program by establishing and monitoring key indicators (e.g., timeliness, quality, exception trends, control effectiveness) and using insights to continuously improve.
- Drive process and productivity improvements through simplification, targeted automation, and pragmatic change management—reducing friction while increasing control effectiveness.
- Partner across the firm (Front Office, Technology, Compliance, HR, Operations, and Legal) to solve problems quickly, influence decisions, and deliver aligned outcomes.
- Ensure readiness for audit and testing by maintaining strong documentation, evidence, and issue management discipline; coordinate effectively with Internal Audit and Monitoring & Testing.
- Oversee third-party and vendor support where applicable, including service performance, controls, and adherence to third-party risk management requirements.
- Lead with high standards—mentoring talent, providing clear feedback, and fostering a culture of accountability, integrity, and sound judgment.
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What This Job Offers
Job Type
Full-time
Career Level
Director
