Headquartered in Tokyo, Sumitomo Mitsui Banking Corporation (SMBC) is a leading
global financial institution and a core member of Sumitomo Mitsui Financial
Group (SMBC Group). Built upon our rich Japanese heritage since 1876, we put our
customers first and provide seamless access to, from and within the Asia Pacific
region. SMBC is one of the largest Japanese banks by assets and maintain
solid credit ratings across our global integrated network. We work closely as
one SMBC Group to offer personal, corporate and investment banking services to
meet the needs of our customers.
With sustainability embedded within our strategy and operations, we are
committed to creating a society in which today’s generation can enjoy economic
prosperity and well-being, and pass it on to future generations.
1. Issue Branch circulars for all the staff members highlighting the
regulatory requirements, actionables, timelines etc.
2. Keep a track and strict monitoring of all correspondences with the
Regulators and ensure that responses to regulatory authorities are properly
submitted within the stipulated period of time.
3. Handle Inspection by Local Regulatory Authorities and coordinate with other
departments for smooth completion of the inspection.
4. Preparation of Annual Compliance Risk assessment & Compliance Action Plan
and put up the same to Management.
5. Carry out Compliance Self Review and compliance Testing in line with the
approved Compliance Risk Assessment and Action Plan and put up the report
with findings to the management in a timely manner.
6. Conduct various Training (classroom training, Online training etc) to
educate the branch staff on compliance issues followed with test
assignments and track until completion.
7. To arrange for Compliance Committee Meeting on bimonthly basis to discuss
significant compliance matters in line with the HO guidelines
8. Regular review of Policy and Procedure of Legal & Compliance Department to
ensure that same is updated and amended wit
📌 AML and KYC Analyst (India)
🏢 SMBC
📍 India