Risk Management + Credit Risk

The Risk Management Department, Americas Division (RMDAD) comprehensively and dynamically manages the risks facing SMBC across various risk stripes and categories. RMDAD plays a critical role in SMBC’s “second line of defense,” overseeing and monitoring risks across the firm, creating sound risk management policies, principles, and frameworks, and working to ensure strong controls are in place to manage and promote informed risk taking.

CM Risk

SMBC Capital Markets, Inc. (SMBC CM) provides market liquidity and customized derivative solutions to corporate and institutional clients around the globe. In addition, SMBC offers regional fixed income and foreign exchange expertise through 70+ offices in over 40 countries. We work in close collaboration with various relationship management partners and other product specialists to provide integrated financing and risk management solutions to help our clients achieve their objectives.

Finance – Financial Planning & Analysis

The Financial Planning & Analysis (“FP&A”) Group is responsible for managing financial planning, budgeting, and forecasting for the organization. Financial ReportingThe Financial Reporting Group is responsible for maintaining and monitoring the day-to-day operations, consolidation process, maintenance and control of the general ledger and shadow general ledgers of the bank holding company’s subsidiaries and preparing financial statements at year-end.Regulatory ReportingThe Regulatory Reporting Group is responsible for maintaining and preparing the submission of regulatory reports for SMBC’s branches and subsidiaries.

Finance Change Management

Finance Change Management is responsible for establishing and managing large-scale programs focused on the implementation of processes, methodologies, and systems that meet regulatory requirements and industry best practices. Product Control DepartmentProduct Control is responsible for the completeness and accuracy of the bank’s fixed-income sales & trading and investment banking p&l. The team ensures consistent and accurate valuation by performing a monthly independent price verification (IPV) of traded products, including but not limited to corporate and sovereign bonds, futures, forwards, interest rate swaps, credit default swaps, caps, floors, asset-backed securities, and traded loans.

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