Associate , Compliance, Regulatory

Company Description

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 14 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.  

#LI-Hybrid 

Job Description

To ensure MUFG conducts business operations in full compliance with all licensing obligations, relevant national and international laws and regulations as well as professional standards, accepted business practices, and internal standards.

• Provide support to the Compliance Senior Management in respect of managing regulatory compliance risk within the group.
• Keep abreast of all relevant regulatory developments, research the regulatory requirements and report on the potential impact thereof on the Company’s licenses, business, or services.
• Execute Compliance Monitoring Plans (CMP) on a monthly basis for relevant jurisdictions.
• Work with 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. Where necessary add controls to monitor non-regulated jurisdictions for compliance with Group policies and procedures.
• Co-ordinate and develop regulatory compliance training modules. Monitoring the roll out of training to new joiners and in accordance with the training calendar and responding to training related queries from the business.
• Ensure provision of prompt and accurate advice to the business on compliance and regulatory matters.
• Oversight of complaints ensuring adherence to the internal procedures and regulatory obligations.
• Execute Fitness & Probity obligations and ensure ongoing compliance with the regulatory requirements.
• Any other ad-hoc projects and duties as required.
• Management of Compliance Training Programme.

Qualifications

• At least 3 – 5 years’ experience working in a similar regulatory compliance role.
• Knowledge of fund administration business.
• Previous experience in regulatory compliance
• Knowledge of fund administration business
• Knowledge of financial services laws, regulations, and codes in home jurisdiction
• Microsoft Office: Excel, Word, PowerPoint, Outlook

Preferred

• Knowledge of EU, Jersey, Irish, Bermuda and Cayman Islands financial services laws, regulations, and codes.

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.  Oh, and we really walk the talk when it comes to HYBRID WORKING.     

So, why settle for the ordinary?  Apply now for a Brilliantly Different career.   

We thank all candidates for applying; however, only those proceeding to the interview stage will be contacted.