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About the Role

The VP of Capital Markets sales support will be a senior member of the newly created Sales MO function within Derivative Operations. This role will support the front office in building business with hedge funds and investment advisors by partnering closely with Front Office, Back Office, and IT to achieve business objectives.

Responsibilities

• Ensure all transaction data is captured timely and accurately and reviewed via end of day validation and completeness checks.
• Identify opportunities for process improvements and implement changes to enhance efficiency and accuracy.
• Actively contribute and test projects related to system enhancements and new industry initiatives and products.
• Create and maintain accurate documentation for all group owned controls and processes.
• Ensure compliance with internal policies and procedures.
• Identify and escalate trade breaks, cancel and correct trades as needed.
• Process trade allocations and trade affirmations.
• Act as a liaison for front office on trade or settlement related issues.
• Investigate sales credit discrepancies and create sales credit reports.
• Coordinate client onboarding process across the client and internal stakeholders (legal, tax, credit, KYC).
• Initiate the credit application process with clients.
• Manage the fund onboarding process, working with asset managers and legal / credit to add new counterparties to existing umbrella agreements.
• Provide support to CM traders and sales people in areas such as trade booking, end of day validation/completeness checks, monitoring of third party platforms (Markitwire, ICE, etc.), manage trade lifecycle events, and assist in the client onboarding process.
• Support established policies & procedures and help guide and establish new desktop procedures and controls where needed.

Requirements

• 7+ years of experience in financial services
• 3+ years of experience working in Middle Office / Trade Support capacity
• Experience working in a multi entity organizational structure and understanding regulatory reporting requirements.

Skills

• Proficiency using various Industry standard platforms as well as proprietary systems.

Location

• US

Work Type

• Hybrid

Experience Level

• Senior
• VP

Education Level

• BA/BS required
• MBA a plus
• Degree in Finance, Accounting or related discipline is preferred
• FINRA Series 99 is preferred

Salary/Compensations

• $125,000.00 - $170,000.00

Benefits

• Competitive portfolio of benefits

About the Company

• SMBC Group is a top-tier global financial group headquartered in Tokyo 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.

Equal Opportunity

• 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 at accommodations@smbcgroup.com.