Americas Compliance Control Room, Vice President - Hybrid
Company: MUFG
Location: New York
Posted on: January 27, 2023
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Job Description:
Do you want your voice heard and your actions to count?Discover
your opportunity with Mitsubishi UFJ Financial Group (MUFG), the
6th 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 an average of
two to three days per week with the remainder worked
remotely.Overall Purpose:The Americas Compliance Control Room (CCR)
administers policies and procedures to prevent or detect insider
trading and identify and manage potential transactional conflicts
of interest. The position shall be responsible to ensure that an
effective compliance program is developed and maintained to address
compliance with applicable regulatory requirements, key compliance
issues and actions are taken to mitigate compliance risk.Principal
functions and responsibilities:Develop and maintain relationships
with key stakeholders, including businesses and other risk
functions, to ensure implementation of an effective compliance
program.Provide consulting and advisory services to stakeholders to
comply with applicable laws, regulations, and policies (e.g.,
Conflicts of Interest, Material Non-public Information and Personal
Trading).Serve as a Subject Matter Expert for designated laws,
regulations and policies, including insider trading and
transactional conflicts of interest.Execute projects as assigned by
supervisor and/or Compliance senior management.Manage controls,
including oversea the maintenance of the Watch and Restricted Lists
to prevent and detect insider trading by employees. These
activities include the administration of requirements under
applicable insider trading policies, centralized reporting of
material non-public information, firm and employees personal
securities trading monitoring, management of information barriers,
employee trading and pre-clearance, and metrics and escalation
reporting.Perform transactional conflicts of interest (TCOI)
process including review of TCOI submissions, escalation to U.S.
management and Home Office, as necessary, and working with business
units and stakeholders on training, procedures, controls and any
required risk mitigation.Participate in the drafting of compliance
related policies and procedures. Make recommendations to develop or
enhance business unit procedures as they relate to compliance
subject matter; and respond to compliance related questions from
management and staff.Develop and implement compliance related
monitoring and compliance metrics relevant to CCR functions;
perform and/or oversee accordingly. Provide information for
compliance reporting to management and governance groups.Manage the
execution of assignments by junior team staff under the bank's
compliance risk programs.Develop, coordinate and deliver initial
and ongoing training for employees on compliance requirements of
designated laws, regulations, and policies (e.g., Conflicts of
Interest, Material Non-public Information, and Personal
Trading).Experience and skills required:Bachelor's degree7 to10+
years of Compliance and Control Room experienceFINRA Broker Dealer
experienceStrong knowledge of financial markets, investment
banking, capital markets and productsOutstanding analytical and
organizational skillsExperience leading and delivering on
projectsExperience working in a large international organization
preferredExcellent communications skills (verbal and written)Series
7, 8 and 24 licenses a plusThe 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.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, disability,
medical condition, sexual orientation, genetic information, or any
other status of an individual or that individual's associates or
relatives that is protected under applicable federal, state, or
local law.
Keywords: MUFG, New York , Americas Compliance Control Room, Vice President - Hybrid, Executive , New York, New York
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