Junior Associate Director, Regulatory Compliance
Contract
Rank: Senior Associate
Employment Type: Fixed Term Contract
Experience a Brilliantly Different career with MUFG Investor Services.
Who are we? MUFG Investor Services is part of Mitsubishi UFJ Financial Group. We partner with over 480 global investment firms to provide administration, asset services, banking and fund financing.
We operate in 17 global locations providing a hub of talented professionals.
This role is a Controlled Function (CF) role under the CBI Fitness & Probity regime.
Responsibilities
Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to regulatory matters. Requires technical proficiency and IT literacy when managing the Compliance Monitoring system.
Respond to business requests and queries, providing guidance in jurisdictions where the company is regulated.
Conduct training to staff on relevant procedures and policies within the relevant jurisdictions.
Assist in responses to internal audit and operations with regulatory compliance risk assessments, audits and management.
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 and updated to reflect changing regulatory and industry requirements.
Assist with the preparation of management reporting and 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 the team to ensure sound oversight of outsourcing provisions, assist in the review of risk assessments / SLAs and oversight reports on outsourcing arrangements.
Test regulatory compliance systems/tools/platforms to ensure they are functioning as required and engage with vendors/stakeholders as required.
Monitor updates to laws, relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
Assist with statutory reporting requirements within requisite timelines.
Assist with developing and amending compliance policies and procedures in response to changing regulation and annual reviews.
Perform any other ad‑hoc projects and duties as required by the manager.
Qualifications
Relevant undergraduate degree or other third‑level qualification preferred; equivalent experience considered.
Formal qualification in compliance such as ACAM or ACOI.
Previous experience in regulatory compliance.
Knowledge of fund administration business.
Knowledge of financial services laws, regulations and codes in jurisdictions MUFG Investor Services operates in (e.g., Ireland, Caribbean, USA).
Proficiency in Microsoft Office: Excel, Word, PowerPoint, Outlook.
Minimum 3 years’ experience within the compliance field.
Benefits
Hybrid working flexibility.
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