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Junior Associate Director, Compliance
3 months ago
Company Description
Experience something Brilliantly Different with a career at MUFG Investor Services.
Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group, and we partner with over 480 loyal global investment firms to provide them with administration, asset services, banking and fund financing.
- Responsible for monitoring updates to laws, relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
- Conduct gap analysis of changes to laws, regulatory changes and developments and report on the potential impact thereof to the Company's licenses, business or services.
- Assist with statutory reporting requirements, within requisite timelines.
- Assist with developing and amending compliance policies and procedures, in response to changing regulation and annual reviews.
- Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to both AML and Regulatory matters.
- Respond to business requests and queries, providing guidance as necessary, with respect to Anti-Money Laundering "AML" laws and regulations for jurisdictions where the Company is regulated.
- Conduct training to staff on relevant procedures and policies within the relevant jurisdictions.
- Work within the global Compliance Team to develop, implement, and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions to ensure appropriate controls are developed, monitored in all regulated jurisdictions and updated to reflect changing regulatory and industry requirements.
- Assist with the preparation of management reporting and the periodic reporting to stakeholders including the Chief Compliance Officer (CCO) / Head of Compliance, the Compliance Committee, Board of Directors, Senior Management and the parent company.
- Work with team to ensure sound oversight of outsourcing provisions, assist in the review of Risk Assessments / SLA's and Oversight Reports on outsourcing arrangements,
- Testing of Regulatory and AML Compliance systems/ tools/platforms ensuring they are functioning as required and engage with vendors/stakeholders as required.
- Any other adhoc projects and duties as required as assigned by Manager.
Qualifications
- Relevant undergraduate degree or other third level qualification is preferred; or equivalent experience will be considered
- Currently have a formal qualification in Compliance e.g. ACAMs or ACOI
- Previous experience in regulatory and AML compliance
- Knowledge of fund administration business
- Knowledge of financial services laws, regulations and codes in jurisdictions MUFG IS conducts business (i.e. Ireland, Caribbean, USA)
- Microsoft Office: Excel, Word, PowerPoint, Outlook
- Minimum 4 years' experience within Compliance field
Additional Information
What's in it for you to join MUFG Investor Services?
Take a look at our careers site and you'll find everything you'd expect from a career with the fastest-growing business at one of the world's largest financial groups.
