Operations Exam Support Analyst

Title:  Operations Exam Support Analyst

Job Description:

Job Level:  Analyst

Location:  

Charlotte, NC, US, 28202

Employment Type:  Full Time

Requisition ID:  7610

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 MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

Role Description

The Operations Examination Support (OES) Team Analyst supports the centralized coordination of internal audits, external audits, and regulatory examinations across AD Operations business lines, including Settlement Operations (SOPS) and Treasury Operations (TROPS). The role assists with audit and examination request management, issue remediation tracking, MIS reporting, and ad hoc initiatives to ensure timely, accurate, and compliant responses in accordance with company standards.

 

Scope of Responsibilities

• Support one or more Operations verticals as part of the OES centralized function.
• Support coordination and communication between Operations, Compliance, Internal Audit, regulators, and other stakeholders.
• The role supports senior OES members who serve as primary points of contact for audits and examinations.
• Responsibilities may expand based on departmental and regulatory requirements.

Responsibilities

• Coordinate and track information requests from regulators, internal audit, and external auditors.
• Support examination lifecycle activities, including request tracking, follow-ups, and documentation management.
• Support review of submitted documentation for completeness, accuracy, and alignment with request requirements prior to escalation.
• Assist with issue management activities, including remediation tracking and closure documentation support.
• Support the maintenance and use of examination, issue, and reporting tools, including centralized trackers and dashboards used by OES.
• Provide MIS reporting assistance, including data collection, validation, reconciliations, and dashboard support related to exams, issues, and operational risk metrics.
• Prepare management status updates and reporting materials upon request.
• Support ad hoc projects and initiatives related to examination support, governance, reporting enhancements, and process improvements.
• Ensure adherence to internal policies, procedures, and documentation standards.

Qualifications and Skills

• Strong organizational and coordination skills
• Attention to detail and ability to manage multiple priorities
• Data analysis, reconciliation, and reporting support experience preferred.
• Proficiency in MS Office 365 and Power BI
• Strong written and verbal communication skills

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. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know