Junior Associate Director, Regulatory Compliance

Toronto - Canada

Monthly Salary: Not Disclosed

Posted on: 11-10-2025

Vacancies: 1 Vacancy

Job Summary

Responsible for monitoring updates to laws specific to the Cayman Islands relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
Conduct gap analysis of changes to laws regulatory changes and developments and report on the potential impact thereof to the Companys licenses business or services.
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.
Assist with preparation of materials for review/approval by the Compliance Committee and the Board of Directors of the regulated entities.
Assist with the Compliance Monitoring Process carrying out testing and quality control checks as required in relation to Regulatory matters.
Respond to business requests and queries providing guidance as necessary under the supervision of Manager.
Work within the global Regulatory 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 / SLAs 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.
Assist with gathering information in relation to any on-site inspections carried out by the Regulator.
Any other ad-hoc projects and duties as required as assigned by Manager.

Qualifications :

A relevant undergraduate degree or other third level qualification is preferred; equivalent experience may be considered in exceptional circumstances.
Possession of a formal qualification in Compliance (e.g. ACAMs or ACOI) or working towards one.
Previous experience in Regulatory Compliance is a prerequisite.
Knowledge of fund administration and/or banking business is required.
Understanding of financial services laws regulations rules and statements of guidance in offshore jurisdictions.
Proficiency in report writing is essential with a proven ability to effectively analyze information verify data and create informative reports.
Extensive experience with Microsoft Office suite (Excel Word PowerPoint Outlook) is necessary.
A minimum of 4 years experience within Regulatory Compliance.

Additional Information :

Whats in it for you to join MUFG Investor Services

Take a look at our careers site and youll find everything youd expect from a career with the fastest-growing business at one of the worlds largest financial groups. Now take another look. Because its how we defy expectations that really defines us. Youll 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.

Remote Work :

Employment Type :

Full-time

Responsible for monitoring updates to laws specific to the Cayman Islands relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.Conduct gap analysis of changes to laws regulatory changes and developments and report on the potential impact t...

Responsible for monitoring updates to laws specific to the Cayman Islands relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
Conduct gap analysis of changes to laws regulatory changes and developments and report on the potential impact thereof to the Companys licenses business or services.
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.
Assist with preparation of materials for review/approval by the Compliance Committee and the Board of Directors of the regulated entities.
Assist with the Compliance Monitoring Process carrying out testing and quality control checks as required in relation to Regulatory matters.
Respond to business requests and queries providing guidance as necessary under the supervision of Manager.
Work within the global Regulatory 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 / SLAs 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.
Assist with gathering information in relation to any on-site inspections carried out by the Regulator.
Any other ad-hoc projects and duties as required as assigned by Manager.

Qualifications :

A relevant undergraduate degree or other third level qualification is preferred; equivalent experience may be considered in exceptional circumstances.
Possession of a formal qualification in Compliance (e.g. ACAMs or ACOI) or working towards one.
Previous experience in Regulatory Compliance is a prerequisite.
Knowledge of fund administration and/or banking business is required.
Understanding of financial services laws regulations rules and statements of guidance in offshore jurisdictions.
Proficiency in report writing is essential with a proven ability to effectively analyze information verify data and create informative reports.
Extensive experience with Microsoft Office suite (Excel Word PowerPoint Outlook) is necessary.
A minimum of 4 years experience within Regulatory Compliance.

Additional Information :

Whats in it for you to join MUFG Investor Services

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.

Remote Work :

Employment Type :

Full-time

Key Skills

Program assessment
FDA Regulations
Manufacturing & Controls
Program Evaluation
budget forecast
Research Experience
Operations Management
Research & Development
Strategic Planning
Contract Management
Leadership Experience
negotiation

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About Company

MUFG Investor Services

Were more than just fund administration. Our offerings include a scope of solutions not historically provided by asset servicing companies. From fund financing to subscription lines of credit, securities lending, foreign exchange (FX) services, consulting services and beyond, we help ... View more

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