Junior Associate Director, Regulatory Compliance
Top Benefits
About the role
Experience something Brilliantly Different with a career at MUFG Investor Services.
Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group, and we partner with over 480 loyal global investment firms to provide them with administration, asset services, banking and fund financing.
We’re in 14 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.
Job Description
- Responsible for monitoring updates to laws specific to the Cayman Islands, relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
- Conduct gap analysis of changes to laws, regulatory changes and developments and report on the potential impact thereof to the Company’s licenses, business or services.
- Assist with statutory reporting requirements, within requisite timelines.
- Assist with developing and amending compliance policies and procedures, in response to changing regulation and annual reviews.
- Assist with preparation of materials for review/approval by the Compliance Committee and the Board of Directors of the regulated entities.
- Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to Regulatory matters.
- Respond to business requests and queries, providing guidance as necessary, under the supervision of Manager.
- Work within the global Regulatory Compliance Team to develop, implement, and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions to ensure appropriate controls are developed, monitored in all regulated jurisdictions and updated to reflect changing regulatory and industry requirements.
- Assist with the preparation of management reporting and 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.
- Work with team to ensure sound oversight of outsourcing provisions, assist in the review of Risk Assessments / SLA’s and Oversight Reports on outsourcing arrangements.
- Testing of Regulatory Compliance systems/ tools/platforms ensuring they are functioning as required and engage with vendors/stakeholders as required.
- Assist with gathering information in relation to any on-site inspections carried out by the Regulator.
- Any other ad-hoc projects and duties as required as assigned by Manager.
Qualifications
- A relevant undergraduate degree or other third level qualification is preferred; equivalent experience may be considered in exceptional circumstances.
- Possession of a formal qualification in Compliance (e.g., ACAMs or ACOI) or working towards one.
- Previous experience in Regulatory Compliance is a prerequisite.
- Knowledge of fund administration and/or banking business is required.
- Understanding of financial services laws, regulations, rules, and statements of guidance in offshore jurisdictions.
- Proficiency in report writing is essential, with a proven ability to effectively analyze information, verify data, and create informative reports.
- Extensive experience with Microsoft Office suite (Excel, Word, PowerPoint, Outlook) is necessary.
- A minimum of 4 years' experience within Regulatory Compliance.
Additional Information
What’s in it for you to join MUFG Investor Services?
Take a look at our careers site and you’ll find everything you’d expect from a career with the fastest-growing business at one of the world’s largest financial groups. Now take another look. Because it’s how we defy expectations that really defines us. You’ll feel that difference in all kinds of ways. Our vibrant CULTURE. Connected team. Love of innovation, laser client focus, and next-level LEARNING & DEVELOPMENT. Oh, and we really walk the talk when it comes to HYBRID WORKING.
So, why settle for the ordinary? Apply now for a Brilliantly Different career.
We thank all candidates for applying; however, only those proceeding to the interview stage will be contacted.
About MUFG Investor Services
We’re more than just fund administration. Our offerings include a scope of solutions not historically provided by asset servicing companies. From fund financing to subscription lines of credit, securities lending, foreign exchange (FX) services, consulting services and beyond, we help clients reach their goals, while allowing them to stay focused on their growth trajectory.
MUFG Investor Services is a leading solutions provider for the global alternative investment management industry. From 17 locations around the world, MUFG Investor Services, through its suite of solutions, helps clients mitigate risk, execute seamlessly, and increase efficiencies across their pre- and post-trade operations. With over $1 trillion in assets under administration, MUFG Investor Services is one of the top fund administrators globally and provides a broad range of solutions including administration, asset servicing, banking and liquidity, corporate and regulatory services, financing, business consulting, and more. Its nearly 500 clients represent funds across the public and private markets ecosystem including investment managers (fund of funds, hedge funds, infrastructure, mutual funds, private debt, private equity, real assets, venture capital), institutional investors, pensions and endowments, sovereign wealth funds and investment consultants. MUFG Investor Services is a division of Mitsubishi UFJ Financial Group, Inc (MUFG) one of the largest banks in the world with approximately $3 trillion in assets. To learn more, please visit us at www.mufg-investorservices.com.
Junior Associate Director, Regulatory Compliance
Top Benefits
About the role
Experience something Brilliantly Different with a career at MUFG Investor Services.
Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group, and we partner with over 480 loyal global investment firms to provide them with administration, asset services, banking and fund financing.
We’re in 14 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.
Job Description
- Responsible for monitoring updates to laws specific to the Cayman Islands, relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
- Conduct gap analysis of changes to laws, regulatory changes and developments and report on the potential impact thereof to the Company’s licenses, business or services.
- Assist with statutory reporting requirements, within requisite timelines.
- Assist with developing and amending compliance policies and procedures, in response to changing regulation and annual reviews.
- Assist with preparation of materials for review/approval by the Compliance Committee and the Board of Directors of the regulated entities.
- Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to Regulatory matters.
- Respond to business requests and queries, providing guidance as necessary, under the supervision of Manager.
- Work within the global Regulatory Compliance Team to develop, implement, and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions to ensure appropriate controls are developed, monitored in all regulated jurisdictions and updated to reflect changing regulatory and industry requirements.
- Assist with the preparation of management reporting and 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.
- Work with team to ensure sound oversight of outsourcing provisions, assist in the review of Risk Assessments / SLA’s and Oversight Reports on outsourcing arrangements.
- Testing of Regulatory Compliance systems/ tools/platforms ensuring they are functioning as required and engage with vendors/stakeholders as required.
- Assist with gathering information in relation to any on-site inspections carried out by the Regulator.
- Any other ad-hoc projects and duties as required as assigned by Manager.
Qualifications
- A relevant undergraduate degree or other third level qualification is preferred; equivalent experience may be considered in exceptional circumstances.
- Possession of a formal qualification in Compliance (e.g., ACAMs or ACOI) or working towards one.
- Previous experience in Regulatory Compliance is a prerequisite.
- Knowledge of fund administration and/or banking business is required.
- Understanding of financial services laws, regulations, rules, and statements of guidance in offshore jurisdictions.
- Proficiency in report writing is essential, with a proven ability to effectively analyze information, verify data, and create informative reports.
- Extensive experience with Microsoft Office suite (Excel, Word, PowerPoint, Outlook) is necessary.
- A minimum of 4 years' experience within Regulatory Compliance.
Additional Information
What’s in it for you to join MUFG Investor Services?
Take a look at our careers site and you’ll find everything you’d expect from a career with the fastest-growing business at one of the world’s largest financial groups. Now take another look. Because it’s how we defy expectations that really defines us. You’ll feel that difference in all kinds of ways. Our vibrant CULTURE. Connected team. Love of innovation, laser client focus, and next-level LEARNING & DEVELOPMENT. Oh, and we really walk the talk when it comes to HYBRID WORKING.
So, why settle for the ordinary? Apply now for a Brilliantly Different career.
We thank all candidates for applying; however, only those proceeding to the interview stage will be contacted.
About MUFG Investor Services
We’re more than just fund administration. Our offerings include a scope of solutions not historically provided by asset servicing companies. From fund financing to subscription lines of credit, securities lending, foreign exchange (FX) services, consulting services and beyond, we help clients reach their goals, while allowing them to stay focused on their growth trajectory.
MUFG Investor Services is a leading solutions provider for the global alternative investment management industry. From 17 locations around the world, MUFG Investor Services, through its suite of solutions, helps clients mitigate risk, execute seamlessly, and increase efficiencies across their pre- and post-trade operations. With over $1 trillion in assets under administration, MUFG Investor Services is one of the top fund administrators globally and provides a broad range of solutions including administration, asset servicing, banking and liquidity, corporate and regulatory services, financing, business consulting, and more. Its nearly 500 clients represent funds across the public and private markets ecosystem including investment managers (fund of funds, hedge funds, infrastructure, mutual funds, private debt, private equity, real assets, venture capital), institutional investors, pensions and endowments, sovereign wealth funds and investment consultants. MUFG Investor Services is a division of Mitsubishi UFJ Financial Group, Inc (MUFG) one of the largest banks in the world with approximately $3 trillion in assets. To learn more, please visit us at www.mufg-investorservices.com.