Associate - Client Due Diligence

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. 

#LI-Hybrid

Reporting to the Associate Director, Client Due Diligence, you will ensure MUFG conducts business operations in full compliance with all relevant national and international laws and regulations as well as professional standards, accepted business practices, and internal standards.

You will ensure that we meet our new business take on and Ongoing Monitoring (OGM) regulatory obligations by reviewing client files, updating risk assessment forms and ensuring the information is up-to-date and accurate.

• Act as Maker/Checker for the review and sign-off Client Risk Assessment Forms, for new clients as part of the onboarding process
• Assess client documents and provide requirements list to the Client Integration (CI) project manager.
• Review new client's documentation promptly and present findings to CI
• Act as Maker/Checker for the review and sign off Client Verification Checklists
• Review CDD files on a periodic and trigger basis as part of our Ongoing Monitoring ("OGM") Process
• Maintenance and safe keeping of CDD documents, files and OGM trackers
• Ensure compliance with the AML Framework in place, across all relevant business areas and jurisdictions
• Review and conduct CDD/KYC/PEP and Sanction Checks.
• Request appropriate CDD documentation from MFS & MAFS Clients/Funds
• Review constitution documentations for multiple entity types. 
• Work with Clients through written communication, on a periodic basis until all appropriate CDD documentation has been obtained
• Ensure queries and emails, are responded to promptly
• Identify issues and ensure appropriate action is taken or escalated

• A minimum of 18 months experience within an AML / Compliance role
• Experience reviewing AML documents at a client or investor level
• A strong team player and good attention to detail is ideal
• 3rd Level / College Qualification desirable 

Experience something Brilliantly Different with a career with MUFG Investor Services.   

Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group family, 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.  

Still interested?