Associate Director, Regulatory Compliance

3 weeks ago

Dublin, Dublin City, Ireland MUFG Investor Services Full time

Company Description

Experience something Exceptionally Unique with a career at MUFG Investor Services.

Who are we? Briefly, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group, collaborating with over 480 loyal global investment firms to offer them administration, asset services, banking, and fund financing.

We're present in 14 global locations and provide an outstanding hub of Exceptionally Unique talent to thrive.

Job Description

  • As a manager in the Compliance team, you will manage the execution of regulatory changes, engaging with stakeholders and impacted parties.
  • Manage and monitor regulatory expectations.
  • Support Compliance Senior Management and Chief Compliance Officer (CCO) in managing regulatory compliance risk within the group.
  • Stay updated and inform senior management and stakeholders of all relevant regulatory developments, research the regulatory requirements, and report on their potential impact on the Company's licenses, business, or services.
  • Assist Internal Audit and Operations with regulatory compliance risk assessments/audits and management.
  • Collaborate with the global Compliance Team to implement and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions to ensure appropriate controls are developed, monitored, and updated to reflect changing regulatory and industry requirements.
  • Prepare management reporting and assist in the periodic reporting to stakeholders including the Chief Compliance Officer (CCO)/Head of Compliance, the Compliance Committee, Board of Directors, Senior Management, and the parent company.
  • Identify and support initiatives to enhance the regulatory control environment.
  • Ensure all staff are informed of and updated with regulatory compliance policies, including coordinating, rolling out, and fully participating in compliance initiatives such as training.
  • Escalate any major issues in the above areas to Compliance Senior Management.
  • Provide timely and accurate advice to the business on compliance and regulatory matters.
  • Offer advice on outsourcing, reviewing Risk Assessments/SLA's and executing Oversight Reports on outsourcing arrangements.
  • Oversee complaints to ensure adherence to internal procedures and regulatory obligations.
  • Supervise regulatory Compliance systems/tools/platforms to ensure they function as required and engage with vendors/stakeholders as necessary.
  • Maintain relationships with regulatory bodies, where necessary, and be able to represent MUFG in regulatory dealings.
  • Any other ad-hoc projects and duties as needed.

This role is a Controlled Function (CF) role under the CBI Fitness & Probity regime

Qualifications

  • Relevant undergraduate degree or other third-level qualification preferred
  • Hold a formal qualification in Compliance ACAMs or ACOI
  • Prior experience in regulatory compliance
  • Understanding of fund administration business
  • Familiarity with financial services laws, regulations, and codes in jurisdictions MUFG IS operates in (Ireland, Caribbean, USA)
  • Strong people management skills with team management experience
  • Proficiency in Microsoft Office: Excel, Word, PowerPoint, Outlook
  • Minimum 5 years' experience in the Compliance field

Additional Information

What's in it for you to join MUFG Investor Services?

Explore our careers site, and you'll discover everything you'd anticipate from a career with the fastest-growing business at one of the world's largest financial groups. But take another glance. Because it's how we go beyond expectations that truly characterizes us. You'll sense that distinction in various aspects. Our dynamic CULTURE. Collaborative team. Passion for innovation, laser client focus, and next-level LEARNING & DEVELOPMENT. Oh, and we genuinely follow through when it comes to HYBRID WORKING.

So, why settle for mediocrity? Seize the opportunity for an Exceptionally Unique career.

We appreciate all applicants; nevertheless, only those moving forward to the interview phase will be contacted.

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