Join SMBC Group: VP, Communications Compliance Surveillance - Natural Language Processing

About SMBC Group

SMBC Group is a top-tier global financial group, headquartered in Tokyo, with a 400-year history. We offer a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With over 130 offices and 80,000 employees worldwide in nearly 40 countries, we are one of the three largest banking groups in Japan. Our shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

Our Presence in the Americas

In the Americas, SMBC Group operates in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by SMBC Group's capital strength and our strong relationships in Asia, we provide a broad range of commercial and investment banking services to corporate, institutional, and municipal clients. Our group companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

Competitive Compensation

The anticipated salary range for this role is between $144,000.00 and $180,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. This role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

Role Description

The Communications Surveillance Vice President will report to the Lead of Transformation, Audit, and Reporting within the Compliance Communications Surveillance function. This role is instrumental in developing, deploying, and maintaining Natural Language Processing (NLP) and other model-based capabilities for the Communications Surveillance Program. As a change agent, you will partner with different areas of the Americas Division Technology, Compliance Analytics, Model Risk, and Validation to leverage advanced techniques to process, analyze, and manage data sets subject to monitoring. Additionally, you will be involved in selecting vendor solutions for deploying NLP to enhance misconduct detection.

Role Objectives

• Oversee development, deployment, and maintenance of NLP in the Communications Surveillance program.
• Create strategies for addressing false positives, enhancing risk detection in communications surveillance, and addressing new trends related to misconduct.
• Ensure that Service Level Agreements (SLAs) are maintained and achieved from all upstream partners as it relates to NLP deliverables.
• Prepare metrics and reporting for management and stakeholders regarding the applicability and effectiveness of NLP in the communications surveillance program.
• Partner with Technology on developing plans, requirements, testing and implementation, and maintenance of technology solutions.
• Collaborate with the Model Risk Team for request submission, review, and approval of the use of NLP.

Qualifications and Skills

• Bachelor’s degree required.
• 5-8 years of experience in either legal or the financial industry.
• Experience in developing, deploying, and maintaining innovative processes, methodologies, and technologies for electronic legal discovery or communications surveillance.
• Experience in developing, training, and deploying models.
• High level of comfort with technology solutions as it relates to electronic legal discovery or communications surveillance.

Diversity & Inclusion Commitment

We are responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent. Our employees participate in a hybrid workforce model that provides opportunities to work from home and from an SMBC office. Employees are required to 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.

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status, or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at