Associate, Compliance

7 days ago

Halifax, Canada MUFG Investor Services Full time

**Company Description** Experience something Brilliantly **Different **with a career at MUFG Investor Services. Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group, and we partner with over 480 loyal global investment firms to provide them with administration, asset services, banking and fund financing. We’re in 17 global locations and provide an exceptional hub of Brilliantly **Different **talent to thrive. The Compliance AML team is responsible for assisting the Chief Compliance Officer and the Money Laundering Reporting Officer in day to day Anti-Money Laundering, terrorist financing and proliferation financing and financial Sanctions related Tasks. This team also acts as advisors to the business in relation to AML?CFT/CPF related queries, and to develop policies, controls, procedures and training. The further responsibilities of the Associate would inlcude: - Assist with monitoring updates to laws, relevant regulatory changes and developments. - Assist with conducting gap analysis of changes to laws, regulatory changes and developments and report on the potential impact thereof to the Company’s licenses, business or services. - Assist with developing and amending compliance policies and procedures, in response to changing regulation and annual reviews. - Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to both AML and Regulatory matters. - Respond to business requests and queries, providing guidance as necessary, with respect to Anti-Money Laundering "AML" laws and regulations for jurisdictions where the Company is regulated. - Assists with preparation of training for staff on relevant procedures and policies within the relevant jurisdictions. - Work within the global Compliance Team to develop, implement, and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions to ensure appropriate controls are developed, monitored in all regulated jurisdictions and updated to reflect changing regulatory and industry requirements. - Assist with the preparation of management reporting and the periodic reporting to stakeholders including the Chief Compliance Officer (CCO) / Head of Compliance, the Compliance Committee, Board of Directors, Senior Management and the parent company. - Work with team to ensure sound oversight of outsourcing provisions, assist in the review of Risk Assessments / SLA’s and Oversight Reports on outsourcing arrangements, - Any other ad-hoc projects and duties as required **Qualifications** - Previous experience in regulatory and AML compliance - Currently have a formal qualification in Compliance e.g. ACAMs or ACOI - Knowledge of fund administration and/or banking business would be ideal - Knowledge of financial services laws, regulations and codes in jurisdictions MUFG IS conducts business (i.e. Ireland, Cayman Islands, USA) - Microsoft Office: Excel, Word, PowerPoint, Outlook **Additional Information** What’s in it for you to join MUFG Investor Services? Take a look at our careers site and you’ll find everything you’d expect from a career with the fastest-growing business at one of the world’s largest financial groups. Now take another look. Because it’s how we defy expectations that really defines us. You’ll feel that difference in all kinds of ways. Our vibrant CULTURE. Connected team. Love of innovation, laser client focus, and next-level LEARNING & DEVELOPMENT. **MUFG is an equal opportunity employer.** **#Hybrid

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