Compliance Monitoring & Testing-Associate

Full Time

International Banking Client

Office Status: Hybrid

Salary: $120,000 – $135,000


  • Supports Monitoring and testing Activities for Nikko Securities.
  • Serves as a tester for all facets of compliance monitoring and testing engagements.
  • Assists in the development and refinement of monitoring and testing scripts.
  • Prepares information requests and announcement memoranda.
  • Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.
  • Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.
  • Identifies underlying issues and escalation / validation thereof with clients.
  • Drafts issue memoranda and reports for issuance to management.
  • Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts
  • Stays abreast of changing regulatory requirements and SMBC’s business model to maintain a solid foundation of the applicable regulatory framework.
  • Assists in the consolidation and reporting of results within local and Head Office reporting.
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