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.

The candidate will be involved in handling various areas of Compliance as listed down below:-
Handling of Inspections:



Handle Supervisory Inspection by Local Regulatory Authorities and coordinate with other departments for smooth completion of the inspection.Liaise with various internal stakeholders and ensure to submit the bank response to local regulatory authorities within the prescribed stipulated period of time.
Handling of regulatory change management : Issue Branch circulars for all the staff members of the India Branches highlighting the regulatory requirements, actionable, timelines etc. 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.
Handling other Compliance areas: Preparation of Annual Compliance Risk assessment & Compliance Action Plan and put up the same to Management. Post approval by branch management, submit the same to HCO, CPDAP, CCO, CPLD.
Perform compliance testing: Carry out Compliance Head office related Self Reviews and regulatory compliance Testing in line with the approved Compliance Risk Assessment and Action Plan

📌 AVP - Compliance (RBI Inspection/ Regulatory Matters) (India)
🏢 SMBC
📍 India