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SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is between $132,000.00 and $170,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

Role Description

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

SMBC Nikko Securities America, Inc. is a member of the Sumitomo Mitsui Financial Group (SMFG), one of the world's largest global financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional clients, focusing on North America and Latin America.

The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking a Vice President level candidate to provide operational support to the Fixed Income Securities business. This role is an extension of the broader New York based Securities Operations team. The role reports to the Head of Middle Office and Settlements to ensure a seamless operational support model between the New York and Charlotte offices.

This position will be located in our Charlotte office.

Role Objectives

Ensure timely execution of day-to-day settlement activities

• Investigation of settlement-related issues such as unrecognized/unmatched trades and payment disputes

• Proactive management and timely escalation of emerging risks/issues to relevant stakeholders and senior management

• Preparation of departmental metrics and reports as required

• Partner with the New York Securities Operations team to ensure an environment of tight controls, regulatory compliance and continuous product and process education

• Proactive mitigation of risk by reviewing and strengthening procedures and identifying opportunities for process enhancement

• Assistance with internal and external reviews focusing on operational processes

• Collaboration with relevant stakeholders (including but not limited to Front Office, Technology, Compliance and Risk) to deliver against targeted business strategies and initiatives

• Assistance with projects/initiatives related to enhancing current processes and controls, including planning and implementation

• Ad-hoc requests and other duties as assigned

• Excellent verbal and written communication skills with ability to articulate concepts and ideas to diverse audiences

• Strong organizational skills

• High level customer service mindset with a commitment to supporting key stakeholders

• Ability to work under pressure and deliver results within tight timelines

• Ability to identify and assess problems, determine the root cause and propose recommendations and/or solutions

• Ability to utilize independent judgement and decision making to handle departmental issues within assigned authority

• Track record of delivering process efficiency gains

• Project management experience and/or related qualification

• Ability to multitask and deliver high quality results in a fast-paced environment

Qualifications and Skills

• 7+ years of experience in Financial Services

• 3+ years of experience working in a trade support capacity

• BA/BS preferably in Accounting, Finance or Economics

• MBA is a plus

• Proficiency in Bloomberg TOMS, Omgeo, Pershing, Netx360, FICC, Euroclear, or Broadridge IMPACT

• Proficiency in Microsoft Office applications

Additional Requirements

D&I Commitment

Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.

SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.