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Associate Director, Regulatory Services Management
1 week ago
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.
We're in 14 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.Responsible for monitoring updates to laws, relevant regulatory changes and developments; Conduct gap analysis of changes to laws, regulatory changes and developments and report on the potential impact thereof tothe Company's licenses, business or services.
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.
Conduct training to staff on relevant procedures and policies within the relevant jurisdictions.Assist in responses to Internal Audit and Operations with Regulatory and AML Compliance risk assessments / audits and management.
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 ad-hoc projects and duties as required as assigned by Manager.Relevant undergraduate degree or other third level qualification is preferred; Currently have a formal qualification in Compliance e.g. Previous experience in regulatory and AML compliance
Microsoft Office:
Excel, Word, PowerPoint, Outlook
Minimum 4 years' experience within Compliance field
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.
however, only those proceeding to the interview stage will be contacted.#
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