Junior Associate Director, 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 17 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.  

• Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to Regulatory matters. Having technical proficiency and general IT literacy when managing the Compliance Monitoring system.
• Respond to business requests and queries, providing guidance as necessary, for jurisdictions where the Company is regulated.
• Conduct training to staff on relevant procedures and policies within the relevant jurisdictions.
• Assist in responses to Internal Audit and Operations with Regulatory Compliance risk assessments / audits and management.
• Work within 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. 
• Assist with the preparation of management reporting and 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.
• Work with team to ensure sound oversight of outsourcing provisions, assist in the review of Risk Assessments / SLA’s and Oversight Reports on outsourcing arrangements.
• Testing of Regulatory Compliance systems/ tools/platforms ensuring they are functioning as required and engage with vendors/stakeholders as required.
• Responsible for monitoring updates to laws, relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
• Assist with statutory reporting requirements, within requisite timelines.
• Assist with developing and amending compliance policies and procedures, in response to changing regulation and annual reviews.
• Any other ad-hoc projects and duties as required as assigned by Manager.

• Relevant undergraduate degree or other third level qualification is preferred; or equivalent experience will be considered
• Currently have a formal qualification in Compliance e.g. ACAMs or ACOI
• Previous experience in Regulatory compliance
• Knowledge of fund administration business
• Knowledge of financial services laws, regulations and codes in jurisdictions MUFG IS conducts business (i.e. Ireland, Caribbean, USA)
• Microsoft Office: Excel, Word, PowerPoint, Outlook
• Minimum 3 years’ experience within Compliance field

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.