Regulatory Compliance Analyst, Transaction management Contract Job at Sumitomo Mitsui Banking Corporation, New York, NY

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  • Sumitomo Mitsui Banking Corporation
  • New York, NY

Job Description

Role Description Regulatory Compliance Analyst is a professional responsible for processing and ensuring to complete the regulatory compliance requirements for GTFD related transactions. Working closely with Transaction Management group in GTFD, and collaborating with various officers such as CPAD, back offices, RM and others. Role Objectives: Delivery Identifying the goods under the funding documentations and process in the system: TradeStream. Once the goods are assessed in the TradeStream, files are to be stored in the SharePoint. If the goods are identified with some potential risks, such goods need to be sent to dedicated compliance team to have an internal review and obtain the clearance. Prior to implementing the TradeStream (approximately in Oct/Nov 2024), assisting the Transaction Management and Marketing teams to process the goods assessment manually. S/he is required to monitor all applications. If there is any risk identified, the feedback needs to be presented to the Marketing team, and to be recorded. Upon receiving requests from Transaction Management and/or Marketing teams, processing Firco online (sanction screening tool) for the counterparties of the transactions and record the result. If there is any negative hit, it needs to be requested to the compliance team and clear the case. Supporting the Transaction Management team to build the database for compliance related assessment record. Qualifications and Skills +2 years of experience in regulatory compliance Analytical thinking, attention to details, effective communication, technology proficiency, commitment to continuous learning, Sumitomo Mitsui Banking Corporation

Job Tags

Contract work,

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