Executive Director, Supervision Oversight Control Officer, Americas Division

SMBC

Charlotte, NC
14 days ago

Highlights

The role partners with Business Unit BCOs, Front Office supervisors, Compliance, Risk Management, Operations, Technology, Internal Audit, Legal, and other control functions to identify supervisory risks, drive sustainable remediation, and embed accountable, well-documented supervision within day-to-day business execution. The Supervision Oversight Control Officer is an Executive Director-level first line risk and control leader responsible for designing, governing, and strengthening supervisory activity oversight across the Americas Division, including Global Markets, Capital Markets and Banking.

Numbers & Facts

Location

Charlotte, NC

Description

Job Summary

The Supervision Oversight Control Officer is an Executive Director-level first line risk and control leader responsible for designing, governing, and strengthening supervisory activity oversight across the Americas Division, including Global Markets, Capital Markets and Banking. The role provides strategic direction, credible challenge, and practical execution support to Front Office leaders on supervisory procedures, desk review routines, evidence standards, escalation protocols, exception management, and quality assurance across the transaction lifecycle. The role partners with Business Unit BCOs, Front Office supervisors, Compliance, Risk Management, Operations, Technology, Internal Audit, Legal, and other control functions to identify supervisory risks, drive sustainable remediation, and embed accountable, well-documented supervision within day-to-day business execution.

Role Description

Set supervisory activity oversight strategy, translating enterprise risk expectations and regulatory obligations into practical supervisory standards, routines, and management disciplines for Front Office execution.
Lead end-to-end assessment of supervisory activities across the trade lifecycle, including client onboarding, transaction execution, communications, documentation, booking, monitoring, reporting, and pre- and post-trade review controls.
Provide senior challenge and advisory support to Front Office supervisors and business leadership on supervisory procedure design, desk review routines, evidence requirements, escalation practices, process change, new products, and remediation plans.
Oversee execution of supervisory control assessments, quality assurance reviews, key control testing, issue management, incident root cause analysis, and remediation validation performed by business unit BCOs and supervisory teams.
Identify, assess, aggregate, and escalate supervisory risks, control gaps, exceptions, themes, and trends across the business; develop clear reporting for senior management committees and governance forums.
Coordinate supervisory activity interactions with Compliance, Risk Management, Internal Audit, Legal, Operations, Technology, and regulators on supervisory procedures, controls, risk appetite, examinations, and related remediation activities.
Drive supervisory process reengineering and continuous improvement initiatives that simplify execution, reduce operational risk, strengthen preventive and detective controls, and enhance evidence of supervisory control performance.
Coordinate Written Supervisory Procedure (WSP) updates across the business, including annual and event-driven reviews, stakeholder input, approval tracking, version control, publication readiness, and WSP tool administration; develop and maintain vertical-specific supervisory policies, procedures, standards, control playbooks, and evidence expectations.
Establish and monitor supervisory key risk indicators (KRIs), key performance indicators (KPIs), exception metrics, aging reports, and management routines to evaluate effectiveness and support timely escalation.
Lead first-line education, communication, and change management efforts to reinforce supervisory accountability, conduct expectations, policy adherence, and regulatory readiness across the business.
Supervise, coach, and develop business unit-level BCO and supervisory oversight staff, setting clear objectives for supervisory reviews, issue management, control testing, governance reporting, and stakeholder engagement.
Embed supervisory risk considerations into daily business processes, strategic planning, product development, transaction approvals, surveillance routines, and Front Office decision-making.Produce executive-level reporting and presentations on supervisory activity oversight for senior management, governance committees, audit engagements, regulatory inquiries, and issue escalation discussions.
Oversee supervisory activity frameworks across the business, including supervisory procedures, desk-level review routines, evidence standards, escalation protocols, exception handling, and quality assurance to confirm Front Office supervision is timely, documented, risk-based, and aligned with regulatory expectations.
Promote a strong supervisory risk culture by demonstrating independent judgment, credible challenge, timely escalation, and accountability for sustainable control outcomes.

Qualifications and Skills

Expert knowledge of supervisory activity oversight, first-line risk management, process and control design, supervisory procedures, process mapping, control testing, quality assurance, and sustainable remediation practices.
Expert knowledge of supervisory risk assessment, issue management, exception management, incident management, root cause analysis, governance reporting, and management committee escalation protocols.
Expert knowledge of Global Markets and Global Banking products, supervision, and processes, including listed and OTC derivatives, fixed income, equities, foreign exchange, treasury products, sales, trading, communications, and post-trade operations.
Expert knowledge of broker-dealer, swap dealer, banking, securities, and supervisory regulatory expectations, including practical experience supporting audits, examinations, regulatory inquiries, and remediation efforts.
Strong understanding of end-to-end transaction lifecycle supervisory controls, including onboarding/KYC, credit and limit management, trade capture, communications review, confirmations, documentation, settlement, monitoring, surveillance, and reporting.
Executive-level leadership, stakeholder management, communication, negotiation, and credible challenge skills, with the ability to influence senior Front Office supervisors and control function partners.
Proven ability to lead matrixed teams, manage competing priorities, drive supervisory change, and deliver measurable control improvements within a complex global financial institution.
Strong analytical capabilities, including the ability to interpret supervisory metrics, identify trends and themes, leverage data to support conclusions, and develop actionable remediation plans.
Excellent judgment, integrity, accountability, and supervisory risk mindset, with the ability to make decisions and escalate issues appropriately in high-pressure environments.
Strong project and program management skills, including planning, dependency management, status reporting, and execution of cross-functional supervisory control initiatives.

10+ years of experience in Global Markets, supervisory activity oversight, first-line risk and controls, business management, operations, compliance, audit, or a closely related control discipline within a major global financial institution.