Client Management - Associate

About SMBC Group

SMBC Group is a top-tier global financial group with a 400-year history, headquartered in Tokyo. We offer diverse financial services including banking, leasing, securities, credit cards, and consumer finance, operating through over 130 offices and employing 80,000 people in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG), our holding company, is one of Japan's three largest banking groups. SMFG is publicly traded on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a significant presence across the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Leveraging the capital strength of SMBC Group and our strong Asian relationships, we provide comprehensive commercial and investment banking services to corporate, institutional, and municipal clients, connecting them to local markets and our extensive global network. Our 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.

Compensation and Benefits

The anticipated salary range for this role is between $78,000.00 and $125,000.00. The specific salary offered will depend on individual qualifications, experience, and market analysis. This role may also be eligible for an annual discretionary incentive award. SMBC offers a competitive portfolio of benefits to its employees.

Role Description

SMBC Capital Markets, Inc. (CM), a derivatives trading firm based in New York City, operates with offices in Charlotte, NC, London, and Hong Kong. We are an established derivatives dealer with a broad product portfolio focused on interest rates and foreign exchange products, including rates & FX swaps, options & exotics, and exchange-traded products. SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker-dealer and a member of FINRA and MSRB. Together, these entities provide coordinated services to our corporate and institutional clients as part of the SMBC Global Markets business unit.

The Client Management role is situated within the Client Lifecycle Department in the Chief Operating Office of SMBC Global Markets front office. Our team supports business expansion, enhances customer experience, and manages risks and controls during client onboarding. This role will be instrumental in guiding high-priority clients through the credit application, legal negotiation, and onboarding processes. The successful candidate will be adept at designing and implementing frameworks for managing pre-trade onboarding stages and establishing an internal onboarding facilitation mechanism. You will collaborate closely with credit officers, legal negotiators, and KYC analysts to maintain accurate onboarding statuses and drive client onboarding prioritization as directed by management. This position is on the trading floor, involving direct interaction with front office staff, support functions, and clients. As part of the first line of defense, the Client Lifecycle Department upholds robust control processes to onboard clients effectively and in compliance with all relevant regulations, policies, and procedures.

Role Objectives: Delivery

• Collaborate directly with the Head of Client Lifecycle, Client Management Lead, and functional teams (Legal, Credit, KYC, etc.) to drive priority clients through the pre-trade onboarding process.
• Assist in the design, documentation, and operation of new onboarding processes to support the growth of the Global Markets Business.
• Support client outreach initiatives by managing detailed statuses of high-volume email traffic.
• Aid Client Management with tasks such as client communication during onboarding and client e-commerce enablement.
• Manage the pipeline of work to ensure high-value clients receive priority.
• Support Credit fast-track processes for high-volume principals.
• Identify opportunities for enhancements to improve efficiency, controls, and customer experience.
• Undertake special projects as required.

Qualifications and Skills

• Bachelor's degree (BA/BS) required.
• 3-5 years of experience in Markets onboarding or a related business analyst/business management role.
• Exceptional verbal and written communication skills, supported by strong analytical abilities and meticulous attention to detail.
• Proven ability to build relationships and manage stakeholders effectively.
• Capacity to work independently, manage multiple competing priorities, and perform well under pressure in a demanding environment.
• Experience in customer service or a demonstrated ability to serve customers effectively.
• Proficiency in Microsoft Word, Excel, and PowerPoint.

Work Model and Accommodations

SMBC employees operate under a Hybrid workforce model, allowing for a blend of remote and in-office work. Employees are expected to reside within a reasonable commuting distance of their office location. Specific hybrid work schedules will be discussed during the interview process. Please note that certain roles, particularly some FINRA-registered positions, may require full-time in-office attendance.

SMBC is committed to providing reasonable accommodations for applicants with disabilities during the candidacy process, in compliance with applicable federal, state, and local laws. If you require a reasonable accommodation, please contact us at [email protected].