Assistant VP (Quality Assurance Analytics) - Sumitomo Mitsui Banking Corporation

Job Responsibilities

1. Compliance and AML Quality Assurance Reviews

• Conduct independent QA reviews and testing of Compliance and AML controls, processes and activities.
• Assess compliance with applicable laws, regulations, Head Office policies, APAC guidelines and local procedures.
• Identify control weaknesses, root causes, thematic issues and areas for improvement.
• Escalate significant issues, breaches or potential breaches identified through QA activities.
• Provide practical recommendations and track remediation actions to ensure timely and effective closure.
• Maintain complete and accurate review documentation, supporting evidence and review trails.
• Work closely with Compliance, AML, business and support functions to facilitate QA activities and follow-up actions.
• Prepare clear, concise and risk-focused QA reports, dashboards and thematic analysis for management and stakeholders.

• Develop, maintain and enhance Compliance and AML QA programs, testing methodologies, templates and desk procedures to ensure alignment with regulatory requirements, policy changes and internal standards.
• Support continuous improvement of QA planning, sampling, testing, reporting and issue-tracking processes.

• Review Compliance Self-Reviews and AML Independent Reviews conducted by APAC offices.
• Assess the quality, consistency and effectiveness of review methodologies, findings, recommendations and follow-up actions.
• Provide guidance and feedback on QA standards, review methodologies and control expectations to promote consistent practices across APAC offices.
• Identify thematic risks, emerging issues, good practices and opportunities to strengthen the regional assurance framework.
• Support regional initiatives to enhance assurance standards, reporting discipline and control effectiveness.

• University degree or higher; ACAMS, ICA or equivalent certification preferred.
• Minimum 3 - 5 years' experience in QA, Compliance, AML, Internal Audit, Risk Management or related control function within a bank or financial institution.
• Strong knowledge of AML/CFT, sanctions, corporate compliance requirements and assurance, testing or audit methodologies.
• Experience in assurance program management, regional oversight activities and/or stakeholder engagement would be advantageous.
• Experience or knowledge in specialised areas such as IT Compliance, Technology Risk, Data Analytics, ESG Compliance, Financial Crime Compliance would be advantageous
• Strong analytical, drafting, problem-solving and stakeholder management skills - having good communications skills, with ability to navigate multiple organizations and find common ground.
• Good understanding of Microsoft Excel and data analytics, reporting and dashboard tools.
• Able to manage multiple priorities, workstreams, senior stakeholders and time-sensitive deliverables.
• Collaborative, and team oriented
• High level of integrity, attention to detail, ownership, and accountability