Regulatory Compliance Officer at MUFG Investor Services

Halifax, Nova Scotia, Canada -

Full Time

Start Date

Immediate

Expiry Date

25 Feb, 26

Salary

0.0

Posted On

27 Nov, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Compliance, Gap Analysis, Statutory Reporting, Compliance Policies, Quality Control, Report Writing, Risk Assessments, Microsoft Office, Financial Services Laws, Communication, Data Analysis, Stakeholder Engagement, Outsourcing Provisions, Compliance Monitoring, Cayman Islands Regulations, Administrative Tasks

Industry

Financial Services

Description

Company Description 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 Monitor government websites for updates to laws/regulations specific to the Cayman Islands and MUFG's licenses; report to Manager - engage with stakeholders and impacted parties; as directed. Conduct first level gap analysis of changes to laws, regulatory changes and developments and report on the potential impact to the business to line Manager. Assist Manager with statutory reporting requirements, within requisite timelines. Assist Manager with developing and amending compliance policies and procedures, in response to changing laws/regulation and annual reviews. Act as Checker with respect to the Compliance Monitoring Process, ensuring that testing and quality control checks as required, in relation to Regulatory matters, have been reviewed appropriately. Under the supervision of Manager, respond to business requests and queries, providing guidance as necessary, under the supervision of Manager. Attend to various filings; record keeping requirements and other administrative tasks as directed. 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; experience as a paralegal/law clerk or other relevant experience will also be considered. Possession of a formal qualification in Compliance (e.g., ACAMs or ACOI) or working towards one. Previous experience in Non-AML Regulatory Compliance is a prerequisite. Strong proficiency in English, including reading, writing and verbal communication is essential for this role. 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.

Responsibilities

The Regulatory Compliance Officer will monitor updates to laws and regulations, conduct gap analyses, and assist in statutory reporting. They will also develop compliance policies and ensure quality control in compliance monitoring processes.