Vice President, Sales Middle Office

SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400-year history, offering a diverse range of financial services including banking, leasing, securities, credit cards, and consumer finance. The Group operates in nearly 40 countries with over 130 offices and 80,000 employees worldwide. In the Americas, SMBC Group serves corporate, institutional, and municipal clients through entities such as Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., and SMBC Capital Markets, Inc.

About the role

The VP of Capital Markets Sales Support will be a senior member of the newly created Sales Middle Office (MO) function within Derivative Operations, partnering closely with Front Office, Back Office, and IT to support business growth with hedge funds and investment advisors. This role will oversee trade booking, end-of-day validation, third-party platform monitoring (e.g., Markitwire, ICE), trade lifecycle management, and client onboarding coordination across front office, legal, credit, and KYC teams. The position will also investigate sales credit discrepancies and generate sales credit reports while collaborating across operations, technology, compliance, risk, and legal departments.

Responsibilities

• Work across front office and operational departments to ensure timely and accurate transaction data capture, including end-of-day validation and completeness checks.
• Operate within a multi-entity organizational structure with awareness of regulatory reporting requirements.
• Utilize industry-standard platforms and proprietary systems to manage trade lifecycle events.
• Identify and implement process improvements to enhance efficiency and accuracy.
• Contribute to and test system enhancements and new industry initiatives/products.
• Create and maintain accurate documentation for group-owned controls and processes.
• Ensure compliance with internal policies and procedures.
• Identify, escalate, and resolve trade breaks, including canceling and correcting trades as needed.
• Process trade allocations and affirmations.
• Act as a liaison for front office on trade or settlement-related issues.
• Investigate sales credit discrepancies and generate sales credit reports.
• Coordinate client onboarding across internal stakeholders (legal, tax, credit, KYC) and initiate the credit application process.
• Manage the fund onboarding process, collaborating with asset managers and legal/credit to add new counterparties to existing umbrella agreements.

Requirements

• 7+ years of experience in financial services.
• 3+ years of experience in Middle Office/Trade Support.
• BA/BS required; MBA or degree in Finance, Accounting, or related discipline preferred.
• FINRA Series 99 certification preferred.

Pay

The anticipated salary range for this role is $125,000 to $170,000, with the specific offer based on individual qualifications, experience, geographic location, and market conditions. The role may also be eligible for an annual discretionary incentive award.

Benefits

SMBC offers a competitive portfolio of benefits to its employees.

Schedule

SMBC follows a hybrid workforce model, requiring employees to live within a reasonable commuting distance of their office location. Specific hybrid work schedules will be discussed during the interview process. Certain roles, including FINRA-registered positions, may require full-time in-office attendance.

SMBC provides reasonable accommodations for applicants with disabilities consistent with applicable federal, state, and local law.