Regulatory Compliance Officer
7 days ago
Job Description We are looking for a Compliance Officer to join MUFG Investor Services. Responsibilities Monitor government websites for updates to laws and regulatory changes specific to the Cayman Islands and MUFG's licenses; report to Manager and engage with stakeholders. Conduct first-level gap analysis of changes to laws, regulatory changes and developments and report the potential impact to the business line manager. Assist manager with statutory reporting requirements within requisite timelines. Assist manager with developing and amending compliance policies and procedures in response to changing laws and regulation and annual reviews. Act as Checker with respect to the Compliance Monitoring Process, ensuring that testing and quality control checks as required in relation to regulatory matters have been reviewed appropriately. Under the supervision of manager, respond to business requests and queries, providing guidance as necessary. Attend to various filings, record keeping requirements and other administrative tasks as directed. Work within the global Regulatory Compliance Team to develop, implement, and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions. 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. 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. Test regulatory compliance systems, tools and platforms ensuring they are functioning as required and engage with vendors and stakeholders as required. Assist with gathering information in relation to any on-site inspections carried out by the regulator. Handle any other ad‑hoc projects and duties as assigned by manager. Qualifications A relevant undergraduate degree or third-level qualification; experience as a paralegal/law clerk or other relevant experience will be considered. Possession of a formal qualification in compliance (e.g., ACAMs or ACOI) or working towards one. Previous experience in non‑AML regulatory compliance is a prerequisite. Strong proficiency in English, including reading, writing and verbal communication. Knowledge of fund administration and/or banking business is required. Understanding of financial services laws, regulations, rules and statements of guidance in offshore jurisdictions. Proficiency in report writing and the ability to analyze information, verify data and create informative reports. Extensive experience with Microsoft Office suite (Excel, Word, PowerPoint, Outlook). A minimum of four years’ experience within regulatory compliance. Additional Information Benefits include hybrid working, a vibrant culture, connected team, love of innovation, laser client focus and next‑level learning & development. Hybrid working arrangements are supported. #J-18808-Ljbffr
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