Compliance Control Room, Assistant Vice President
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Job Location:
Irving, TX - USA
Monthly Salary:
$ 85 - 115
Posted on:
30+ days ago
Vacancies:
1 Vacancy
Job Summary
Do you want your voice heard and your actions to count
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG) one of the worlds leading financial groups. Across the globe were 150000 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 worlds most trusted financial group its 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.Job Summary:
The 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).
Execute projects as assigned by supervisor and/or Compliance senior management.
Assist in 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 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.
Qualifications:
Bachelors degree
3 - 5 years of Compliance and Control Room experience
FINRA Broker Dealer experience a plus
Strong knowledge of financial markets investment banking capital markets and products
Outstanding analytical and organizational skills
Experience delivering on projects
Experience working in a large international organization preferred
Excellent communications skills (verbal and written)
Experience with Excel or Access
Series 7 a plus
The typical base pay range for this role is between $85K - $115K 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. For more information on our Total Rewards package please click the link below.
We will consider for employment all qualified applicants including those with criminal histories in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance (ii) the City of Los Angeles Fair Chance Initiative for Hiring Ordinance (iii) the Los Angeles County Fair Chance Ordinance and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment if any.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 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 individuals associates or relatives that is protected under applicable federal state or local law.Required Experience:
Exec
Key Skills
- Presentation Skills
- Risk Management
- Financial Services
- IFRS
- Banking
- Pricing
- Analysis Skills
- Securities Law
- Investment Banking
- Relationship Management
- Strategic Planning
- Leadership Experience
About Company
MUFG is a leading global financial group backed by 2,700 locations in over 50 countries and regions, offering comprehensive and tailored financial solutions to our clients worldwide.
