Compliance - Analyst

4 weeks ago

Toronto, Canada MUFG Full time

Compliance - Analyst

**Job Summary**:
The primary responsibility is to assist the Chief Compliance Officer in the activities of compliance and anti-money laundering.

**Primary Accountabilities**:
**KYC**:

- Conduct screening on Customers and related parties.
- Be responsible for implementing KYC procedure
- Prepares and monitors KYC review schedule based on risk level
- Answers incoming inquiries and provides AML/ATF & KYC policies guidance, consultation, advice and assistance to relevant business line
- Assists CCO in revising AML policy and KYC procedure
- Maintains high risk country list, sanction list, high risk customer list and PEP list
- Prepares materials for internal and external auditing/examination
- Prepare and submit (or provide assistance to other compliance staff) compliance reports required by Head Office or HQA

**Regulatory Compliance Management**:

- Prepares compliance training materials including preparation of PowerPoint presentations
- Be responsible for implementing FATCA program such as drafts and revises FATCA Compliance Manual and Procedures, monitors the FATCA due diligence process, submits reportable accounts information to Canada Revenue Agency
- Participate in Compliance Projects to support the overall efforts of the Compliance Team.

**Investigations**:

- Review watch list filtering alerts to identify instances of Money-laundering, Terrorist Financing and violation Sanctions.
- Review transactions Alerts to identify instances of Money-laundering, Terrorist Financing and violation Sanctions.
- Monitor Trading department for unusual or suspicious activity including price fixing, collusion, and insider trading.

**Development of Policies and Procedures**:

- Develop new procedures and perform annual review of existing policies and procedures

Prepare process work flows

**Technical Skills**:

- Working knowledge in Microsoft Office
- Logical reasoning and problem solving skills
- Excellent organizational, time management and project management skills

**Experience Required**:

- 2 years' professional experience working in financial services industry
- Solid understanding of financial statements and risks
- Ability to work in a fast-paced environment

**Education & Training**:

- Bachelor's degree

**Work Environment**:

- Office, WFH-Split

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