Head of Americas Control Room

About the position

SMBC's Compliance Department is seeking a highly experienced Head of Americas Control Room to oversee and enhance the firm's Control Room function across the Americas. This role requires a deep understanding of conflicts management, regulatory risk, and the strategic execution of policies that support business integrity and regulatory compliance. The successful candidate will lead the day-to-day operations of the Control Room, ensuring the effective implementation of information barriers, conflicts management, and regulatory monitoring processes. This role also involves advisory responsibilities, cross-border coordination, and strategic planning to continuously improve the Control Room framework.

Responsibilities

• Lead and manage the Americas Control Room, ensuring the effective implementation of policies, procedures, and controls related to information barriers and conflicts of interest.
• Oversee insider lists and restricted lists, maintaining accurate records and ensuring compliance with regulatory and firm requirements.
• Manage Wall Crossing procedures, ensuring that material non-public information (MNPI) is properly controlled and documented.
• Review employee conflicts, including Outside Business Activities (OBAs), Personal Account Trading, and External Communications, ensuring adherence to compliance policies.
• Engage with business leadership and front-office personnel, providing guidance on control room matters and regulatory requirements.
• Conduct regular meetings with business unit management to proactively identify emerging compliance risks and evolving regulatory obligations.
• Develop and implement surveillance measures to monitor control room effectiveness and identify potential risks.
• Streamline operational processes to improve efficiencies and reduce reliance on manual workflows.
• Support cross-border coordination to ensure compliance with global regulatory requirements and best practices.
• Enhance the use of technology and data analytics to optimize control room operations.
• Oversee Business Continuity Planning (BCP) assessments for the Control Room and ensure proper contingency planning.

Requirements

• Bachelor's degree required; advanced degree or professional certifications (e.g., FINRA licenses, CRCM) preferred.
• 10+ years of regulatory compliance experience within broker-dealers or financial institutions.
• Proven leadership experience in a Control Room or similar compliance function, preferably within a global financial institution.
• Strong foundation in U.S., Canada, LatAm, and Cayman securities laws and broker-dealer operations.
• Deep knowledge of conflicts management, insider trading regulations, and information barriers.
• Excellent communication and stakeholder management skills, with the ability to convey complex regulatory concepts clearly.
• Ability to strategize and execute Control Room policies across multiple entities and jurisdictions.
• Experience managing automated Control Room technologies and working closely with Technology teams on compliance solutions.
• High attention to detail, ability to manage multiple assignments, and a disciplined approach to monitoring and issue resolution.

Benefits

• Competitive portfolio of benefits to its employees.
• Annual discretionary incentive award.