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.
Job Summary:
The primary responsibility is to execute Core Compliance processes, monitoring and reporting activities.
Key Responsibilities:
Regulatory Compliance Management -
- Development of Policies, Procedures and perform annual review of existing policies and procedures
- Prepare process work flows and job aids.
- Assist in core compliance activities
- Execute compliance monitoring activities such as Call and Chat monitoring.
- Prepare compliance training materials including preparation of PowerPoint presentations
- Be responsible for implementing FATCA program such as drafts and revises FATCA Compliance Manual and Procedures, monitors the FATCA due diligence process, submits reportable accounts information to Canada Revenue Agency
- Participate in Compliance Projects to support the overall efforts of the Compliance Team.
Investigations -
- Review watch list filtering alerts to identify instances of Money-laundering, Terrorist Financing and violation Sanctions.
- Review transactions Alerts to identify instances of Money-laundering, Terrorist Financing and violation Sanctions.
- Monitor Trading department for unusual or suspicious activity including price fixing, collusion, and insider trading.
- Assist compliance team in KYC reviews.
- Assist compliance team in Financial crimes process and controls.
Technical Skills:
- Working knowledge in Microsoft Office
- Logical reasoning and problem solving skills
- Excellent organizational, time management and project management skills
Experience & Abilities:
- 2 years' professional experience working in financial services industry
- Solid understanding of financial statements and risks
- Ability to work in a fast-paced environment
Education & Training:
- Bachelor's degree
- Nice to have: Certified Anti-Money Laundering Specialist (CAMS) certificate
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.
