Associate Director, Regulatory Services Management

1 week ago


Halifax, Nova Scotia, Canada Mufg Investorservices Full time

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.
#

  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    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. however, only those proceeding to the interview stage will be contacted. #The Junior Associate Director is the first management role within...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    Company DescriptionExperience 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.We're in 14 global...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    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. We're in 14 global...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    Company Description 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. Now take another look. Because it's how we defy expectations that really defines us. You'll feel that difference in...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    Company Description 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. Now take another look. Because it's how we defy expectations that really defines us. You'll feel that difference...

  • Associate Director

    1 week ago


    Halifax, Nova Scotia, Canada Time + Space Media Ltd. Full time

    ABOUT THE ROLE We are searching for an Associate Director to join our Client Service Team. The Associate Director plays a crucial role in guiding strategy and client service plans, supporting Account Directors, and ensuring the successful delivery of campaigns within our client service standards. The ideal candidate will have a strong background in client...


  • Halifax, Nova Scotia, Canada University of King's College Full time

    Full-time, permanent, subject to a probationary period. Established in 1789, the University of King's College is Canada's oldest chartered university and is associated with Dalhousie University. A small and extraordinarily lively academic community located in Halifax (Kjipuktuk), Nova Scotia, King's is known nationally and internationally for its highly...


  • Halifax, Nova Scotia, Canada Dalhousie University Full time

    Position Details: Position InformationPosition Title Associate Director, OceansDepartment/Unit Faculty of Management GeneralResearch Project Policy Transformation Accelerator forTransforming Climate Action: Addressing the Missing OceanLocation Halifax, Nova Scotia, CanadaPosting Number GP03624Employee Group Grant-PaidPosition Type TermDuration of Contract...


  • Halifax, Nova Scotia, Canada CareerBeacon Full time

    Established in 1789, the University of King's College is Canada's oldest chartered university and is associated with Dalhousie University. A small and extraordinarily lively academic community located in Halifax (Kjipuktuk), Nova Scotia, King's is known nationally and internationally for its highly acclaimed interdisciplinary programs in the humanities,...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    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. Reporting to Head of Third...


  • Halifax, Nova Scotia, Canada Nova Scotia College of Social Workers Full time

    The Administrative Support Regulatory Services role acts as the front line point of contact for the office and is accountable for supporting the office's regulatory functions and administrative operations in support of the goals, objectives, vision and mission of the NSCSW. The Administrative Support Regulatory Services is the primary administrative and...


  • Halifax, Nova Scotia, Canada Isarta Full time $83,342 - $95,645

    Associate Director, Communications (full-time, permanent, subject to a probationary period)Established in 1789, the University of King's College is Canada's oldest chartered university and is associated with Dalhousie University.A small and extraordinarily lively academic community located in Halifax (Kjipuktuk), Nova Scotia, King's is known nationally and...

  • Assistant Director

    1 week ago


    Halifax, Nova Scotia, Canada Dalhousie University Full time

    The Division of Animal Care (DAC) provides professional services and oversight for the Faculty of Medicine's Animal Care facilities. Reporting to the Director, DAC, the Assistant Director & Clinical Veterinarian will provide the highest quality of animal care, and support research teams and students, ensuring animal welfare and adherence to regulatory...

  • Service Associate

    1 week ago


    Halifax, Nova Scotia, Canada Deep Down Cleaning Services Ltd Full time

    We are seeking a highly organized and detail-oriented individual to join our team as a Service Associate.As a Service Associate, you will be responsible for providing exceptional service to our clients and ensuring their satisfaction with our services.Your primary role will be to assist customers with their inquiries, scheduling jobs and employees, resolve...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    Company DescriptionWhat's in it for you to join MUFG Investor Services?LI-HybridReporting to the Senior Associate Director, Client Operations, a list of your responsibilities will include:Manage a team of fund accountants responsible for client deliverables such as NAV production, financial statements and associated reports; Ensure the team is trained,...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    Company Description About MUFG Investor Services**: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...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    Company Description About MUFG Investor Services**:What's in it for you to join MUFG Investor Services?LI-HybridReporting to the Associate Director of Client Operations, you will:Provide a full range of fund accounting services to hedge fund clients, including NAV preparation, reviewing corporate actions, verifying security pricing, performing cash and...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    Reporting to the Junior Associate Director, Investor Operations, a list of your responsibilities will include:Complete daily deliverables, with quality while following company and department policies and procedures relating to investor registration, dealing, reporting and cashStrive to complete deliverables within Service level agreements, escalate any...


  • Halifax, Nova Scotia, Canada MUFG Investor Services Full time

    Company DescriptionExperience something Brilliantly Different with a career with MUFG Investor Services.Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group family, and we partner with over 480 loyal global investment firms to provide them with administration, assert services, banking, and fund financing.We're in 14...

  • Associate Physician

    1 week ago


    Halifax, Nova Scotia, Canada Nova Scotia Health Authority Full time

    Req ID:161383**Company: Nova Scotia HealthLocation:Central Zone, Halifax Infirmary Robie Street Entrance - QEII**Department:MED Clinical Assistants**Type of Employment:Permanent Hourly FT (100% FTE) x 1 position(s)Status:Management/Non Union Position**Posting Closing Date:8-May-24**Nova Scotia Health is the largest provider of health services in Nova Scotia,...