Compliance Associate Director
6 days ago
As a Compliance Associate Director at MUFG Investor Services, you will play a critical role in ensuring the company conducts business operations in full compliance with all relevant national and international laws and regulations.
Key Responsibilities:- Compliance Oversight: Ensure that all business operations are conducted in accordance with applicable laws, regulations, and internal standards.
- Sanctions Screening: Perform thorough research on payment investigations and initiate/respond to queries to/from intra-group colleagues.
- Liaison and Communication: Liaise with client operations teams and internal auditors as required to ensure effective communication and collaboration.
- Customer and Transaction Screening: Ensure that we meet our ongoing customer and transaction screening obligations as it relates to our banking and fund administration licenses.
- Payment Review: Review all incoming and outgoing payments captured in the compliance sanctions queue to ensure compliance with regulatory requirements.
- Investigation and Decision-Making: Investigate sanction alerts and adverse media hits on the MUFG customer base and make initial decisions on appropriate action.
- AML/CTF/CPF/TFS Framework: Ensure compliance with the AML/CTF/CPF/TFS Framework in place, across all relevant departments and jurisdictions.
- Query and Email Response: Ensure that queries and emails are responded to in a timely and accurate manner.
- Issue Identification and Escalation: Identify issues and ensure appropriate action is taken or escalated to senior management.
- Reporting: Complete reports to assist line manager and wider department in making informed decisions.
- Payment Review and Action: Work the hours to ensure that all payments to and from the bank have been reviewed and actioned.
- Knowledge and Skills: Knowledge of SWIFT payment system, United States of America and International Clearing Systems, and excellent Microsoft Office skills with exceptional attention to detail.
- Analytical and Problem-Solving Skills: Proven analytical and problem-solving skills, with a working knowledge of Oracle Flexcube preferred.
- Experience: Extensive experience within an AML / Compliance & Banking role is essential.
- Banking Supervisory Role: It would be ideal to be in a Banking supervisory role.
- Sanctions Screening Tools: Should have experience of using sanctions screening tools i.e. Nice Actimize, LSEG etc. Knowledge of Transaction Monitoring / SWIFT platforms would be very beneficial.
- Qualifications: An undergraduate degree in Accounting, Finance, Business or other third level qualification would be advantageous.
- Compliance Qualification: Have or working towards a formal qualification in Compliance e.g. ACAMS, ACOI or ICA.
- Cayman Islands Financial Services Laws: Knowledge of Cayman Islands financial services laws, regulations and codes would be an asset but not essential.
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