Investigations - Associate

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 Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

Role Description

Investigation roles are responsible for providing a single functional resolution for all (non-HR) investigations for SMBC. The Investigations team covers matters regarding: fraud, bribery, corruption, theft, financial accounting, internal accounting controls, other unethical conduct that violates SMBC's Code of Conduct or an applicable rule, law, or regulation, and retaliation for having raised a claim regarding such matters. They manage intake and triage for all case leads and inquiries, conduct and coordinate investigative activity, produce case output to drive action by internal risk and control owners, and author and present reports to appropriate stakeholders. We are currently seeking an experienced professional to join this team.

Role Objectives

In this role, you will:

• Assist with investigations.
• Participate in witness interviews as notetaker and preparation for interviews.
• Prepare interview memoranda.
• Prepare chronologies.
• Review documents.
• Work with the investigators and other subject matter experts within the Legal Department in a timely manner, with discretion and in a professional manner engaging with all internal stakeholders as appropriate.
• Ensure all cases are formally closed with closure notes.
• Provide the Investigations Oversight Group with appropriate and timely written reports of investigations and updates.
• Maintain appropriate procedures for investigations, adapting as necessary to comply with legal developments and evolving best practices.
• Support the Compliance Department, Human Resources Department, and other relevant stakeholders, in related mitigating efforts and action plans.

Qualifications and Skills

Skills

• Strong organizational skills.
• Excellent oral and written communication skills and interpersonal skills.
• Ability to priorities competing demands.
• Ability to work autonomously under pressure of tight deadlines.
• Ability to produce succinct and pertinent reporting.
• Experience reviewing documents, including electronic communications.

Background

• 5+ years of work with investigative teams.

Additional Requirements

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.

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 [email protected].