JOB SUMMARYWe are seeking an experienced Technology Lead to drive the delivery of our Conflict of Interest (COI), Control Room technology platform and related compliance initiatives. The role will partner closely with Compliance, Control Room, Data, and Technology teams to design, implement, and enhance solutions that support transactional conflict identification, workflow management, auditability, and regulatory compliance. The ideal candidate will possess a strong understanding of compliance and Control Room functions, coupled with hands-on experience delivering complex technology solutions. They will be responsible for driving initiatives from requirements through implementation, managing vendor relationships, coordinating cross-functional teams, and ensuring successful delivery of strategic compliance technology programs.
PRINCIPAL DUTIES AND RESPONSIBILITIES- Lead the delivery and enhancement of COI, Control Room, and related Compliance Technology solutions.
- Partner with Compliance, Legal, Risk, and business stakeholders to gather requirements and translate regulatory and operational needs into technology solutions.
- Drive initiatives through the full delivery lifecycle, including requirements, solution design, development, testing, implementation, and production rollout.
- Manage relationships with vendors, technology teams, and business stakeholders to ensure successful project execution.
- Define and oversee system integrations, data sourcing, data quality controls, and operational processes supporting compliance workflows.
- Collaborate with architecture, engineering, and data teams to deliver scalable and sustainable solutions.
- Monitor project progress, risks, issues, and dependencies, providing clear communication and escalation as required.
- Support production issue management, release planning, testing, and post-implementation activities.
- Develop and maintain documentation including business requirements, functional specifications, process flows, and operating procedures.
- Drive continuous improvement initiatives through automation, analytics, and emerging technologies including AI-based solutions.
POSITION SPECIFICATIONS- 5+ years of experience in Technology Delivery, Business Analysis, Product Ownership, Technology Consulting, or a related field.
- Strong understanding of Conflicts of Interest (COI), Control Room, MNPI, Employee Compliance, or related compliance functions within financial services.
- Experience delivering enterprise applications, regulatory technology, surveillance, compliance, or risk management solutions.
- Proven ability to manage initiatives from requirements gathering through implementation and production support.
- Strong understanding of system integrations, APIs, data architecture, and cloud-based technologies.
- Experience working with Compliance, Legal, Risk, Audit, Front Office, Operations, and Technology stakeholders.
- Strong analytical and problem-solving skills with the ability to assess business processes and translate requirements into technology solutions.
- Experience managing vendor-delivered solutions and coordinating cross-functional delivery teams.
- Knowledge of Agile, SDLC, project governance, testing, and change management processes.
- Strong communication and stakeholder management skills, including experience presenting to senior management and governance forums.
- Proficiency in SQL and working knowledge of Python for data analysis, validation, automation, and troubleshooting.
NICE TO HAVE:Compliance & Financial Services:
- Experience with Control Room, Information Barrier, Watch List, Restricted List, Employee Compliance, or Surveillance platforms.
- Knowledge of regulatory requirements relating to conflicts of interest, MNPI, and market conduct controls.
- Experience working on Compliance, Conduct Risk, or Surveillance transformation programs.
Data & Technology
- Experience with Databricks, Snowflake, Azure, or similar cloud-based data platforms.
- Understanding of data governance, data quality controls, and regulatory reporting frameworks.
- Experience utilizing AI/ML solutions for compliance monitoring, workflow automation, or analytics.
- Familiarity with DevOps, CI/CD pipelines, and modern software delivery practices.
Leadership & Delivery
- Experience leading large-scale technology implementations involving multiple stakeholders and vendors.
- Project or program management experience within a regulated financial services environment.
- Experience managing globally distributed teams and working across multiple regions and time zones.
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.
