Head of E-Comm Surveillance

Sumitomo Mitsui Banking Corporation•Jersey City, NJ

5d•$230,000 - $275,000•Hybrid

About The Position

SMBC’s Compliance Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance framework across the Americas. This role reports directly to the Managing Director, Head of Surveillance, Control Room, and Conflicts of Interest and is responsible for the implementation, management, and optimization of vendor applications that support this framework. The successful candidate will drive the strategic development of policies, procedures, and technological solutions in response to regulatory changes and business needs, ensuring a robust and effective communications surveillance program.

Requirements

Bachelor’s degree required; advanced degree or relevant certifications preferred.
Minimum 12 years of experience in the financial industry, with a strong focus on compliance, surveillance, or electronic communications monitoring.
Proven leadership experience managing compliance teams and developing surveillance programs.
Strong analytical and critical thinking skills, with the ability to assess, escalate, and mitigate compliance risks.
Detail-oriented, ensuring all staff and communications are monitored effectively and aligned with regulatory workflows.
Experience working with electronic communications surveillance tools (e.g., Surveil-X, Relativity Trace, NICE Actimize, or similar).
Excellent verbal and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings.

Responsibilities

Lead and manage the E-Communications and Voice Surveillance programs for SMBC Americas, including the development, maintenance, and enforcement of policies, procedures, and controls.
Direct the Communications Surveillance review team, ensuring effective risk identification, escalation, and resolution.
Oversee the handling of escalated communications, working closely with line of business supervisors and compliance teams as necessary to address potential issues in alignment with regulatory requirements.
Enhance surveillance training by providing subject matter expertise to the central compliance training team for continuous program development.
Develop and implement meaningful Management Information Systems (MIS) and performance metrics to track program effectiveness and escalate key findings as needed.
Lead system implementations and enhancements, ensuring surveillance technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices.
Collaborate with Data Analytics teams to design, implement, and refine models supporting communications surveillance.
Define and report Key Risk Indicators (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends.
Stay ahead of regulatory developments and industry best practices, ensuring SMBC’s surveillance framework remains proactive and compliant.
Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and Group Compliance Officers (CCOs).