Compliance Risk Associate Specialist

1 week ago


Halifax, Nova Scotia, Canada MUFG Investor Services Full time

The Compliance AML team at MUFG Investor Services plays a vital role in supporting the Chief Compliance Officer and Money Laundering Reporting Officer in their day-to-day Anti-Money Laundering, terrorist financing, and proliferation financing tasks.

This team also acts as advisors to the business regarding AML/CFT/CPF-related queries and policy development. Their responsibilities include monitoring updates to laws and regulatory changes, conducting gap analysis of changes, and reporting on potential impacts to the company's licenses and services.

In addition, they assist with developing and amending compliance policies and procedures in response to changing regulations and annual reviews. They also conduct testing and quality control checks as part of the Compliance Monitoring Process, focusing on both AML and Regulatory matters.

As a Compliance Risk Associate Specialist, you will be responsible for providing guidance on Anti-Money Laundering laws and regulations for jurisdictions where the company is regulated. You will also assist with preparing training for staff on relevant procedures and policies within those jurisdictions.

You will work collaboratively with the global Compliance Team to develop, implement, and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions. This includes ensuring appropriate controls are developed, monitored, and updated to reflect changing regulatory and industry requirements.

Furthermore, you will assist with the preparation of management reporting and periodic reporting to stakeholders, including the Chief Compliance Officer, the Compliance Committee, Board of Directors, Senior Management, and the parent company.

You will also work with the team to ensure sound oversight of outsourcing provisions, review Risk Assessments and Oversight Reports on outsourcing arrangements, and participate in ad-hoc projects as required.

To succeed in this role, you should have previous experience in regulatory and AML compliance, as well as a formal qualification in Compliance, such as ACAMs or ACOI. Knowledge of fund administration and/or banking business would be ideal, along with familiarity with financial services laws, regulations, and codes in jurisdictions where MUFG Investor Services operates.

A strong understanding of Microsoft Office applications, particularly Excel, Word, PowerPoint, and Outlook, is also essential.

MUFG Investor Services offers a competitive salary package, estimated to be around $60,000 - $80,000 per annum, depending on experience and qualifications. The company prides itself on its vibrant culture, connected team, love of innovation, laser client focus, and next-level learning and development opportunities.

As a Compliance Risk Associate Specialist, you will be part of a Brilliantly Different career at MUFG Investor Services, where you can grow professionally and personally in a dynamic and rewarding environment.



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