Regulatory & Compliance Technology Lead - Vice President

3 months ago

London, UK, United Kingdom Sumitomo Mitsui Banking Corporation – SMBC Group Full time

Regulatory and Compliance Technology is part of EMEA Cross - Product Platforms function and is critical to enablement of delivery and support of SMBC EMEA Legal Entities and Branches' Regulatory and Compliance obligations. This function drives Technology responses to regulatory and business driven initiatives applying rigorous framework covering change analysis, definition, delivery, maintenance and support of relevant platforms.


As a Lead of Regulatory and Compliance Technology team you will provide leadership in shaping the technology strategy for the SMBC EMEA region. The purpose of this role is to provide management and oversight of Technology change delivery of External Regulatory Reporting, Monitoring and Surveillance and other Compliance obligations across EMEA. This role will provide direction and support to SMBC business, operations and control functions (Finance and Compliance) across EMEA locations.


This role is crucial to alignment across the entire EMEA Technology organisation, meeting compliance standards and changes to regulations across impacted platforms and processes.


Key Job Functions


  • Define and drive IT strategy, vision and target operating model aligned to EMEA Regulatory and Compliance strategy and EMEA CIO IT Strategy
  • Implement and execute an optimal application and data architecture, change delivery processes, service excellence and operating model
  • Ensure the environment is secure, stable and resilient and SMBC Group Companies and Branches meet internal and external regulatory obligations and compliance requirements through sustainable Technology solutions
  • Define, plan, coordinate, and execute relevant technology applications enhancements
  • Manage IT budget relevant to in-scope delivery and team
  • Manage stakeholder relationships with Finance, Compliance, Risk, Business and Operations functions
  • Manage a direct team of techical subject matter resources including recruitment, career development and succession planning
  • Manage vendor relationships, selection and procurement of new or additional vendor systems
  • Manage relationships with other Technology teams within SMBC Group providing solutions, delivery and support to EMEA Regulatory and Compliance
  • Implement and execute best practices and applicable IT standard to all change delivery


Responsibility and Authority


  • Reporting to the Head of the Cross Product Platforms for providing the Change Management capability and technology deliveries to enable Regulatory Compliance and platform Strategy for EMEA Technology and in determining and recommending appropriate tooling and implementation to enable ongoing compliance, stability and resilience
  • Owing to the enterprise compliance aspect of the role, the Factual impact of the role goes beyond the number of staff directed
  • Responsible for function-specific deliverables and representing Regulatory and Compliance Technology on all strategic initiatives
  • Management of 6 - 12 direct reports
  • Liaison with all relevant departments within EMEA as required. The role includes participation, from time to time in CRR3 / Basel 3.1 Steering Committee and other relevant Regulatory and Compliance management forums
  • Responsibility for delivery budgets over USD 2 million per annum
  • Responsible for managing internal technology providers (JRIA,JRIE and Outsourced service providers)
  • Responsible for ensuring that our business partners' requirements are captured, filtered and developed in line with regulations and within the bank's strategy
  • Responsible for ensuring that our business partners requirements are captured, filtered and developed in line with regulations and within the bank's strategy and standards


Specific Experience and Qualifications


  • Knowledge of the Regulatory Reporting Landscape with working experience in delivering change impacting Transaction or Prudential Regulation and Compliance
  • Communication skills with stakeholders at the most senior level in the Bank and with third parties, including the ability to set and explain Regulatory and Compliance Technology changes to a non-technical audience and de-escalate issues and business impact caused by incidents
  • Ability to think strategically in terms of value creation, coupled with a strong commercial acumen.
  • 5-10 years’ experience in a similar technology role
  • Extensive relevant industry experience
  • Driving Change - programme and project management skills to drive effective change delivery
  • Leadership skills at an Enterprise level to motivate and inspire direct reports and the wider group
  • Judgement and decision making – on both complex technical issues and under pressure during system incidents
  • Global Liaison – ability to operate, influence and provide thought leadership globally, particularly with our core partners in the Americas and the EMEA region
  • Experience and understanding of change delivery across the software development lifecycle with a working knowledge of Agile Scrum methodology and managing Agile teams
  • Management of a portfolio of products that contains a combination of in-house and vendor products that need to interact to enable Regulatory Reporting
  • Implementation of Cloud infrastructure would be an advantage
  • Business Analysis Skills: Must have strong problem-solving skills and be able to provide recommendations and solutions for remediation or improvement
  • Driving continual improvement and service delivery
  • Knowledge of tooling and vendor management with leading industry tools used for Regulatory Reporting, Compliance and Monitoring (including Suade Labs, WKFS, S&P GRRS, Surveil X, Smarsh, BAIS etc)
  • Strong history of managing stakeholders at various levels up to and including Board level
  • Experience of leading at a senior level, devising and delivering strategies
  • Deep knowledge and exposure to banking and capital markets products and losses
  • Proven ability to drive productivity improvements through enhanced processes, policies and systems
  • Strong external network for market intelligence
  • Culturally aware
  • Strong influencing skills
  • Literate in Finance and Accounting Standards and practices
  • Understanding of data management principles and advanced Office skills


Qualifications - Not essential as experience will play a large factor


  • Agile Scrum Certification
  • PRINCE2 or other Project Management qualification
  • Business Analysis Certification
  • Accountancy or other Financial Qualifications

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