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Compliance Associate Director

2 months ago

Old Toronto, Ontario, Canada MUFG Investor Services Full time

About the Role

MUFG Investor Services is seeking a highly skilled Compliance Associate Director to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.

Key Responsibilities

  • Conduct thorough research on payment investigations and initiate/respond to queries to/from intra-group colleagues.
  • Liaise with client operations teams and internal auditors as required.
  • Ensure that we meet our ongoing customer and transaction screening obligations as it relates to our banking and fund administration licenses.
  • Review all incoming and outgoing payments captured in the compliance sanctions queue.
  • Investigate sanction alerts and adverse media hits on our customer base and initial decision.
  • Ensure compliance with the AML/CTF/CPF/TFS Framework in place, across all relevant departments and jurisdictions.
  • Ensure queries and emails are responded to in a timely and accurate manner.
  • Identify issues and ensure appropriate action is taken or escalated.
  • Complete reports to assist line manager and wider department.
  • Work the hours to ensure that all payments to and from the bank have been reviewed and actioned.
  • Knowledge of SWIFT payment system.
  • Understanding United States of America and International Clearing Systems.
  • Excellent Microsoft Office skills with exceptional attention to detail.
  • Proven analytical and problem-solving skills.
  • Working knowledge of Oracle Flexcube preferred.

Requirements

  • Extensive experience within an AML / Compliance & Banking role is essential.
  • It would be ideal to be in a Banking supervisory role.
  • Should have experience of using sanctions screening tools i.e. Nice Actimize, LSEG etc. Knowledge of Transaction Monitoring / SWIFT platforms would be very beneficial.
  • An undergraduate degree in Accounting, Finance, Business or other third-level qualification would be advantageous.
  • Have or working towards a formal qualification in Compliance e.g. ACAMS, ACOI or ICA.
  • Knowledge of Cayman Islands financial services laws, regulations and codes would be an asset but not essential.