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Vice President
Mitsubishi UFJ Financial Group
New York, NY, 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.
Job Summary:
The CCR manages compliance controls to prevent insider trading by employees, and manages the company’s transactional conflicts of interest processes. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and processes are evaluated and controlled, and appropriate actions are taken to mitigate compliance risk. This position shall serve as a Subject Matter Expert for designated laws, regulations and policies applicable to the CCR functions.
Major Responsibilities:
• Perform and/or manage performance of responsibilities and projects as assigned by supervisor and/or ACoD senior management, including those required by Home Office.
• Manage CCR functions and controls to prevent and detect insider trading by employees.
• These activities include the administration of requirements under applicable insider trading policies, centralized reporting of material non-public Information, firm and employees personal securities trading monitoring, management of information barriers, implementing employee trading and pre-clearance requirements, and metrics and escalation reporting.
• Manage transactional conflicts of interest (TCOI) process including review of TCOI submissions, escalation to U.S. management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls, and any required risk mitigation.
• Serve as a Subject Matter Expert and/or Primary Regulatory Lead for designated laws, regulations and policies, including insider trading and transactional conflicts of interest.
• Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
• Provide consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information, Anti-social Elements, and Personal Trading).
• Draft, or participate in the drafting of, compliance related policies and procedures.
• Make recommendations to develop or enhance business unit policies and procedures as they relate to compliance subject matter; and respond to compliance related questions from management and staff.
• Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or manage accordingly.
• Provide information for compliance reporting to management and governance groups.
• Execute, participate in and/or manage the execution by junior team staff of assigned responsibilities under the bank’s compliance risk assessment programs.
• Work with Training on the development, coordination, and delivery of initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information, Anti-social Elements, and Personal Trading).
Qualifications
• BS/BA/BBA Required; Advanced Degree Preferred.
• Minimum 8-12 years of experience focusing on Control Room and/or Investment Banking experience.
• Strong knowledge of U.S. securities laws.
• Able to work effectively with minimal supervision.
• Well organized with strong attention to detail and strong analytical skills.
• Excellent writing and communication skills.
The above statements are intended to describe the general nature and level of 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.
A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it’s the bank’s policy to only inquire into a candidate’s criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.