Toronto, ON, Canada
18 hours ago
Compliance, Assistant Vice President (6 months term)

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 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 world’s most trusted financial group, it’s 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.

*** This is a 6-month contract position ***

This position is responsible for managing local, regional and global compliance reporting. The position is also responsible for regulatory compliance management as well as managing compliance risks, including privacy risk, associated with organization's external counterparts, its activities and processes.

Key Responsibilities:

Compliance Reporting

Managing all reporting requests from local, regional and global stakeholders applicable for CompliancePreparing reports which includes gathering information, analyze data from system, presenting the information into the required format and submitting the reports by their due datePreparing user friendly reporting templates to enable users to maintain data on a recurring basis

Issues Management

Managing Compliance related issues, which includes coordinating with stakeholders on issue status and ensuring timely closureAdministrating issue management system, updating issue records, creating and closing the issues in the systemPreparing reports and providing status updates on existing issues

Managing Branch-wide Training

Assigning target audience for Core Compliance and Financial Crimes trainingsAnalyzing overdue status and ensuring all assigned trainings are completed within their time framePreparing training completion reportsAdministering training related issues, such as, issues faced by employees in accessing their profiles, ensuring all applicable employees are receiving their trainings, managing training exemptions in order to meet regulatory and bank wide training requirement

Regulatory Compliance Management - RCM (Resolver)

Administering RCM system, Resolver, adding new users to the system, providing appropriate access and communicating Resolver notifications to appropriate users, such as, filer, attester, etc.Accessing reports to verify the attestation status to ensure all attestation are completed by their due date, following up with users whose attestations remain overduePerforming attestation for Core Compliance related activities and regulatory requirements

Managing Compliance Committee Presentation and Report

Providing statistical data for Compliance Committee presentation and CCO reportsCommunicating with stakeholders to analyze the information provided and its reasons thereof

Management of Privacy Risk

Performing privacy impact assessments for third parties and external counterpartsAnalyzing different aspects of privacy risk in an engagement and determining controls to mitigate those risksStaying up to date with privacy related laws and regulatory requirements to ensure regulatory compliance at all times

Risk Assessments, Review, Monitoring and Testing

Performing risk assessments for Compliance related activitiesPreparing and updating working papers for the business to assist them perform their self-assessmentMonitoring and testing business activities, as determined to be in scope, compile results and prepare summary of testing to identify issues and potential risksManaging Compliance plan and complete all related and in scope testing by the due dateReviewing third party risk assessments for potential inherent risks present in third party engagements, determine controls and ensure controls are operating effectively to reduce the risk to an acceptable levelCoordinating with Regulators, Audit and testing teams and respond to their queries, requests for information and provide evidences to support their inspection, audit, etc.

FATCA and CRS Reporting

Preparing a listing of all reportable accounts based on the regulatory criteria and the information collected for the customersPerforming reconciliation of new and existing clients to ensure complete documentation are maintained by the business for all customers,Preparing reports of FATCA and CRS reportable accounts for submission to Accounting in order for them to submit the report to the Regulator

Procedural Development and Update

Developing new policy / procedure documents as required and deemed necessary to formalize and document activitiesUpdating procedures by their review date and make necessary amendments to align the documents with the current business and regulatory environmentKeeping up to date with all effective policies, procedures and standards to ensure compliance with Organization's requirements at all times

Laws and Regulations

Staying up to date with all regulatory requirements applicable to Organization to maintain effective culture of Compliance

Provide support on other compliance activities as applicable including,

Quality Assurance and compliance monitoring processes and activitiesVendor risk managementRisk related to Code of Conduct/Conflict of Interest and managing materially non-public information

Qualifications:

Strong computer skills, including proficiency in MS Office products, such as, Word, PowerPoint, VisioHigh level proficiency in Excel; Excellent communication and presentation skills with ability to interact effectively with others across the organization, including Senior Management; Strong analytical, logical reasoning and problem solving skillsHigh level skills in managing and analyzing data and be able to extract valuable information from raw data.Manage projects, set priorities and work under pressure with tight deadlinesAbility to read, interpret and understand laws and regulationsAbility to work in a fast-paced environment and embrace new technologies and systems.Completion of a Bachelor degree, Chartered Accountancy designation (CPA / ACCA / CA) or equivalent in the field of Business Administration, Financial Management, Accounting or Legal.

The job description and related application pertains to an opportunity with either MUFG Bank, Ltd., Canada Branch (“MUFG Bank Canada”) or MUFG Securities (Canada), Ltd. (“MUFG Securities Canada”). The job description relates to the general nature, scope, quantity and quality of work contemplated for the position. Other duties and responsibilities not specifically described may be assigned from time to time, consistent with knowledge, skills and abilities of the incumbent. The receipt of an application by either MUFG Bank Canada or MUFG Securities Canada, as applicable, does not imply or guarantee employment.

Each of MUFG Bank Canada and MUFG Securities Canada is an equal opportunity employer.

• As a federally regulated entity, MUFG Bank Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Canadian Human Rights Act and the Canada Labour Code. Where MUFG Bank Canada obtains information relating to protected grounds under the Canadian Human Rights Act as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Bank Canada does not use such information for decision making purposes relating to the position contemplated in this application.

• As a provincially regulated entity, MUFG Securities Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Human Rights Code (Ontario) and the Employment Standards Act (Ontario). Where MUFG Securities Canada obtains information relating to protected grounds under the Human Rights Code (Ontario) as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Securities Canada does not use such information for decision making purposes relating to the position contemplated in this application.
Por favor confirme su dirección de correo electrónico: Send Email