Regulatory Compliance

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.

Job Description

• As a manager in the Compliance team you will be required to manage the execution of regulatory changes, engaging with stakeholder and impacted parties.
• Provide support to Compliance Senior Management and Chief Compliance Officer (CCO) in respect of managing regulatory compliance risk within the group.
• Keep abreast of and keep senior management and stakeholders informed of all relevant regulatory developments, research the regulatory requirements and report on the potential impact thereof on the Company’s licenses, business or services.
• Work with the global Compliance Team to 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. 
• Prepare management reporting and assist in 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.
• Manage escalations of major issues and ensure all staff are kept up to date with regulatory compliance.
• Ensure provision of prompt and accurate advice to the business on compliance and regulatory matters.
• Providing advice on outsourcing, reviewing Risk Assessments / SLA’s and executing Oversight Reports on outsourcing arrangements, managing oversight reports etc. 
• Maintain relationships with regulatory bodies, where required, and be in a position to represent MUFG with respect to regulatory dealings.
• Any other ad-hoc projects and duties as required.

This role is a Controlled Function (CF) role under the CBI Fitness & Probity regime 

Qualifications

• You should have an experienced background in Regulatory Compliance
• A formal qualification in Compliance e.g. ACAMs or ACOI is ideal
• Knowledge of fund administration business would be a nice to have
• Knowledge of financial services laws, regulations and codes in a variety of jurisdictions would be beneficial (i.e. Ireland, Caribbean, USA)
• Microsoft Office: Excel, Word, PowerPoint, Outlook