Compliance Associate Director

7 days ago

Toronto, Ontario, Canada MUFG Investor Services Full time
Job Summary

We are seeking a highly skilled Compliance Associate Director to join our team at MUFG Investor Services. 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
  • Compliance Oversight: Ensure that our business operations are conducted in compliance with all relevant laws and regulations, including anti-money laundering (AML) and know-your-customer (KYC) requirements.
  • Sanctions Screening: Conduct thorough research on payment investigations and initiate/respond to queries to/from intra-group colleagues.
  • Liaison with Internal Teams: Liaise with client operations teams and internal auditors as required to ensure compliance with regulatory requirements.
  • Transaction Monitoring: Review all incoming and outgoing payments captured in the compliance sanctions queue and investigate sanction alerts and adverse media hits on the MUFG customer base.
  • Compliance Framework: Ensure compliance with the AML/CTF/CPF/TFS Framework in place, across all relevant departments and jurisdictions.
  • Communication: Ensure queries and emails are responded to in a timely and accurate manner.
  • Issue Identification: Identify issues and ensure appropriate action is taken or escalated.
  • Reporting: Complete reports to assist line manager and wider department.
  • Knowledge of Payment Systems: Work with knowledge of SWIFT payment system and understanding of United States of America and International Clearing Systems.
  • Technical Skills: Excellent Microsoft Office skills with exceptional attention to detail and proven analytical and problem-solving skills.
Requirements
  • Experience: Extensive experience within an AML / Compliance & Banking role is essential.
  • Qualifications: An undergraduate degree in Accounting, Finance, Business or other third-level qualification would be advantageous.
  • Compliance Qualifications: Have or working towards a formal qualification in Compliance e.g. ACAMS, ACOI or ICA.
  • Knowledge of Financial Services Laws: Knowledge of Cayman Islands financial services laws, regulations and codes would be an asset but not essential.
What We Offer

At MUFG Investor Services, we offer a vibrant culture, connected team, love of innovation, laser client focus, and next-level learning and development opportunities. We also offer hybrid working arrangements, allowing you to balance your work and personal life.

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