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Manager
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 (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 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:
Reporting to the Chief Compliance Officer, this position is responsible for the development and maintenance of select components of HighMark Capital Management’s (HCM) Compliance Program, pursuant to SEC Rule 206(4)-7. This role will require 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.
Major Responsibilities:
• Assist the Chief Compliance Officer with HCM’s compliance program.
• Review investment portfolios for consistency with client investment mandates, including testing of automated trading rules.
• Assist with the update of HCM’s Form ADV, Parts 1 and 2, ensure timely filing with the SEC and distribution to clients.
• Monitors proxy voting vendor, coordinates any referred proxy voting items
• As needed, assist in coordinating regulatory examinations, internal audits, and other compliance reviews.
• Supports HCM’s annual compliance testing program, conduct periodic testing and proactively recommend refinements to existing testing or new areas to test.
• Backup to Code of Ethics administrator. Review employee trading activities for compliance with firm’s Code of Ethics and potential conflicts.
• Ensure productive and constructive working relationships based on clear communication, mutual understanding, and shared objectives.
• Conduct new hire and ongoing compliance training. Implement updates to training materials and maintain records.
• 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-plus years in investment advisory compliance experience required.
• Well-versed in current regulations and compliance requirements pertaining to the Investment Advisers Act of 1940.
• Good analytical skills, including knowledge of investment instruments and portfolio compliance methods and systems.
• 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 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.