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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

SMBC Americas Division is seeking a Senior Records Management Compliance Lead to join our growing Records Management team. This critical role serves as the strategic bridge between our Records Management organization, Technology teams, and Business stakeholders during a transformational period as we modernize our records management program and implement our primary archive platform.

This position is essential to sustaining and scaling our records management framework beyond the initial 13-application pilot to our broader portfolio of 130+ critical applications and 1700+ total application portfolio. The successful candidate will play a pivotal role in driving adoption, ensuring compliance, and building relationships across all organizational levels while supporting the implementation of automated data lifecycle management processes.

Role Objectives

Technical Implementation Support

• Collaborate with technical teams on enterprise archive platform implementation and configuration

• Support the development of automated policy creation and assignment processes within existing retention management tools

• Help design and implement dashboarding and KPI tracking systems to measure compliance and program effectiveness

• Support the configuration of enterprise records applications and governance tracking systems

Compliance & Risk Management

• Interpret regulatory requirements and translate them into practical, implementable technical and business processes

• Distinguish between regulatory record retention requirements and business data retention needs

• Support legal hold processes and ensure proper coordination with Legal Department requirements

• Help establish and maintain records management controls that can be documented, measured, and audited

• Assist in the development of exception handling processes and escalation procedures

Program Sustainment & Knowledge Manageme nt

• Create and maintain documentation of processes, procedures, and best practices

• Develop training materials and conduct knowledge transfer sessions for business and technical teams

• Support the creation of job aids and reference materials for Records Management Coordinators

• Help establish a center of excellence approach to records management that reduces dependency on external consulting support

• Contribute to the maturation of SMBC's records management program Required Qualifications

Qualifications and Skills

Experience

• 7+ years of experience in records management, information governance, or related field within financial services industry

• 5+ years of experience working at the intersection of business, technology, and compliance teams

• Demonstrated experience implementing enterprise content management or archiving solutions (A360, Smarsh, Documentum, OpenText, FileNet, SharePoint, or similar platforms)

• Experience with records management frameworks, retention scheduling, and regulatory compliance in banking environment

• Proven track record of successfully managing stakeholder relationships across multiple organizational levels and functions

Technical Skills

• Strong understanding of data lifecycle management principles and practices

• Experience with enterprise archiving platforms (specific platform experience preferred, but not required)

• Familiarity with retention management tools and automated policy enforcement systems

• Understanding of API integration, system onboarding processes, and enterprise architecture principles

• Knowledge of enterprise service management platforms preferred

• Proficiency in Microsoft Office Suite (PowerPoint, Word, Excel) for documentation and presentation development

Regulatory & Compliance Knowledge

• Deep understanding of banking regulatory requirements related to record retention (FINRA, SEC, OCC, FDIC, etc.)

• Knowledge of legal hold processes and litigation support requirements

• Understanding of data privacy regulations and their intersection with records management

• Experience interpreting regulatory guidance and translating into operational procedures

Core Competencies

• Excellent communication and interpersonal skills with ability to influence without direct authority

• Strong analytical and problem-solving capabilities

• Ability to manage multiple competing priorities and stakeholder demands

• Change management experience with ability to drive adoption of new processes and technologies

• Project management skills with experience managing cross-functional initiatives

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 at accommodations@smbcgroup.com.

EOE, including Disability/veterans