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Compliance Manager - Investment Management, Vice President
Mitsubishi UFJ Financial Group
San Francisco, CA, United States
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Description
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world with total assets of over $2.4 trillion (as ranked by SNL Financial, April 2016) and 140,000 colleagues in nearly 50 countries. In the U.S., we’re 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that’s working to fulfill its vision to be the world’s most trusted financial group.
Major Responsibilities:
This position is responsible for the development and maintenance of the HighMark Capital Management (HCM) Compliance Program pursuant to SEC Rule 206(4)-7. Under the direction of the Chief Compliance Officer, assume the role of AML (anti-money laundering) Compliance Officer, ensuring HCM’s AML program complies with all regulatory requirements. Direct interaction with senior management of HCM and MUFG Union Bank N.A. (“Bank”), and advise executive and line management on compliance issues. Position requires excellent written and verbal communication skills, flexibility, and the ability to independently manage assigned areas of responsibility.
• Assist the Chief Compliance Officer with HCM’s compliance program.
• Develop as the ‘go to’ person within HighMark and the Bank for policies and procedures relating to code of ethics, training, proxy voting, adviser regulatory filings and other supervisory responsibilities
• Administrate HCM’s Code of Ethics utilizing an automated system, ensuring timely compliance and confidentiality
• Annually coordinate the update of HCM’s Form ADV, Parts 1 and 2, ensure timely filing with the SEC and distribution to clients
• Develop policies and procedures relating to the adviser and ensure that such policies and procedures are up to date and reflect current operational practices
• Contribute as a proactive voice within HighMark compliance, as well as Highmark’s separate accounts, common trust funds and institutional accounts
• Supports HCM’s annual compliance testing program, conduct periodic testing and proactively recommend refinements to existing testing or new areas to test
• Identify and communicate regulations relevant to Highmark’s lines of business, in a way that supports compliance as a positive factor in the commercial success of the business
• Ensure productive and constructive working relationships based on clear communication, mutual understanding, and shared objectives
• Assist in coordinating regulatory examinations, internal audits, and other compliance reviews
• Develop and implement internal training materials, content and programs. Deliver training sessions in an effective and professional manner. Work with training systems as necessary.
• Work closely with Bank Legal and Corporate Compliance and follow through on issues pertaining to compliance.
• Backup other critical compliance functions as needed.
Qualifications
• Six years + in investment advisory compliance experience required
• Well-versed in current regulations and compliance requirements pertaining to the IA/IC Acts of 1940. Good analytical skills
• Experience with the Bank Secrecy Act and Anti-Money Laundering Programs
• Highly organized, detail oriented and ability to ensure completion of simultaneous projects
• A bachelor’s degree is preferred with five years of business experience and/or proven success in a previous related field.
The above statements are intended to describe the general nature and level of the 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/Affirmative Action 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 in employment decisions on the basis of any protected category.