Regulatory Compliance Officer

• Monitor government websites for updates to laws/regulations specific to the Cayman Islands and MUFGs licenses; report to Manager - engage with stakeholders and impacted parties; as directed.
• Conduct first level gap analysis of changes to laws regulatory changes and developments and report on the potential impact to the business to line Manager.
• Assist Manager with statutory reporting requirements within requisite timelines.
• Assist Manager with developing and amending compliance policies and procedures in response to changing laws/regulation and annual reviews.
• Act as Checker with respect to the Compliance Monitoring Process ensuring that testing and quality control checks as required in relation to Regulatory matters have been reviewed appropriately.
• Under the supervision of Manager respond to business requests and queries providing guidance as necessary under the supervision of Manager.
• Attend to various filings; record keeping requirements and other administrative tasks as directed. 
• 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; experience as a paralegal/law clerk or other relevant experience will also be considered.
• Possession of a formal qualification in Compliance (e.g. ACAMs or ACOI) or working towards one.
• Previous experience in Non-AML Regulatory Compliance is a prerequisite.
• Strong proficiency in English including reading writing and verbal communication is essential for this role.
• 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 :

No

Employment Type :

Full-time