AVP-Markets Compliance Officer

Mitsubishi UFJ Financial Group

Job Location:

Paris - France

Monthly Salary: Not Disclosed

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.

Job Description

Overview of the Department/Section

MUFG Securities Europe N.V. (MUS(EU)) is the European Union investment banking entity of MUFG operating in close partnership with its UK affiliate MUFG Securities EMEA plc.

MUS(EU) Paris branch provides client solutions across primary and secondary markets.

The client group includes EEA financial institutions and large corporates.

Compliances core mission is to support and oversee the business activities.

Main Purpose of the Role

Actively contribute to maintaining an effective compliance framework for the Paris Branch providing day-to-day regulatory advice and fostering a strong compliance culture. Provide support to ensure compliance with all applicable laws regulations and internal standards. Collaborate effectively with MUFG EMEA (MUSE) in and MUFG Bank Europe (MBE) Compliance teams

Key Responsibilities

Compliance Framework & Oversight:

Support the implementation and maintenance of a robust compliance framework tailored to the branchs activities and risk profile.
Contribute to governance reporting and development and delivery of management information for senior stakeholders.
Support in performing risk assessments and thematic reviews.
Contribute to compliance monitoring testing and reporting activities
Assist in reviewing and updating compliance policies and procedures
Analyse alerts escalated by the Trade and eComm Surveillance Teams
Collaborate with EMEA Compliance teams to ensure effective oversight of outsourced compliance services.

Advisory & Regulatory Interaction:

Partner with the business and compliance colleagues to support new business initiatives performing evaluation against risk appetite and regulations
Provide on-the ground advice to the business on regulatory requirements internal policies and procedures
Promote compliance awareness and deliver or coordinate training sessions for branch staff.
Assist with management of relationships with local regulators (AMF) and professional associations (AMAFI).
Assist with ad hoc regulatory requests.

Financial Crime Compliance:

Contribute to KYC reviews and approvals
Prepare and submit the annual AML/CFT regulatory reports for the ACPR
Support AML and sanctions oversight including transaction monitoring suspicious activity reporting and liaison with the FIU (Tracfin).

Work Experience

36 years experience in Markets Compliance within an international financial institution or from a financial regulator.
Experience in interacting with Senior Management

Functional / Technical Competencies:

In-depth knowledge of French and EU financial regulation (MIFID MAD/MAR GDPR).
Experience in Financial Crime Compliance including AML/CFT sanctions and ABC
Proven understanding of the complexity of capital markets and products regulations including their practical implications for both private side and public side activities.
Demonstrated ability to design access and execute compliance controls and testing
Fluent in French and English (written and spoken).

Personal Requirements

Academic (master) degree in a relevant field of study
Excellent problem solving skills
Good presentation skills verbal and written
Ability to challenge and ask questions
Proactive self-starter able to handle diverse workload

We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued respected and their opinions count. We support the principles of equality diversity and inclusion in recruitment and employment and oppose all forms of discrimination on the grounds of age sex gender sexual orientation disability pregnancy and maternity race gender reassignment religion or belief and marriage or civil partnership.

We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.

Required Experience:

Unclear Seniority

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...