Global Sanctions - Relationship Review Manager, Vice President - Hybrid (New York)

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

This is a hybrid position. The selected colleague will work at an MUFG office or client sites up to four days per week and work remotely the remaining day(s). A member of our Talent Acquisition team will provide more details.

We're seeking a Compliance Manager who is responsible for the development and maintenance of select components of HighMark Capital Management's (HCM) Compliance Program, pursuant to SEC Rule 206(4)-7 in conjunction with the Chief Compliance Officer. This role will require direct interaction with senior management of HCM and MUFG Union Bank N.A. and advise management on compliance issues. You need excellent written and verbal communication skills, flexibility, and the ability to independently handle assigned areas of responsibility to be successful.

Responsibilities:

• Review investment portfolios for consistency with client investment mandates, including testing of automated trading rules.

• Assist with the update of HCM's Form ADV, Parts 1 and 2, ensure timely filing with the SEC and distribution to clients.

• Monitors proxy voting vendor, coordinates any referred proxy voting items.

• Assist in coordinating regulatory examinations, internal audits, and other compliance reviews.

• Support HCM's annual compliance testing program, conduct periodic testing, and actively recommend refinements to existing testing or new areas to test.

• Backup to Code of Ethics administrator. Review employee trading activities for compliance with firm's Code of Ethics and potential conflicts.

• Conduct new hire and ongoing compliance training. Implement updates to training materials and maintain records.

• Work closely with Bank Legal and Corporate Compliance and follow through on issues pertaining to compliance.

The right candidate will have:

• 6+ years in investment advisory compliance experience Proficiency in current regulations and compliance requirements pertaining to the Investment Advisers Act of 1940

• Good analytical skills, including knowledge of investment instruments and portfolio compliance methods and systems

• Highly organized and able to multi-task

• Bachelor's degree is preferred, with 5 years of business experience and/or shown success in a related field.

The typical base pay range for this role is between $120k-$150k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity/Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disabilit