Sales Analytics and Controls Analyst

at  MUFG Securities Canada

DO YOU WANT YOUR VOICE HEARD AND YOUR ACTIONS TO COUNT?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

JOB SUMMARY:

This role will be responsible for Sales Analytics and Controls and reports to the VP Team Lead. The scope includes support for New York, Canada, London, and Asia activities. Examples of the activities include:
Working with Salespeople to understand and document client institutional sub-category and First Line ‘risk tier’;
Ensuring client CRM data is being routinely updated (across onboarding, BAU, and offboarding processes);
Liaising with KYC team on as needed basis to expedite process; support governance processes;

TECHNICAL SKILLS:

• Proficient in Excel and previous experience dealing with Database Design and Data Structures ideal.

EXPERIENCE & ABILITIES:

• Ability to work in a fast paced culture and deadline driven environment
• Awareness & understanding of Know Your Customer (KYC) due diligence procedures Exhibit culture of strong risk principles
• Ability to engage local & overseas stakeholders in different time zones

EDUCATION & TRAINING:

• Bachelor’s degree in Business, Finance, Economics or equivalent work experience
  The job description and related application pertains to an opportunity with either MUFG Bank, Ltd., Canada Branch (“MUFG Bank Canada”) or MUFG Securities (Canada), Ltd. (“MUFG Securities Canada”). The job description relates to the general nature, scope, quantity and quality of work contemplated for the position. Other duties and responsibilities not specifically described may be assigned from time to time, consistent with knowledge, skills and abilities of the incumbent. The receipt of an application by either MUFG Bank Canada or MUFG Securities Canada, as applicable, does not imply or guarantee employment.

Each of MUFG Bank Canada and MUFG Securities Canada is an equal opportunity employer.

• As a federally regulated entity, MUFG Bank Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Canadian Human Rights Act and the Canada Labour Code. Where MUFG Bank Canada obtains information relating to protected grounds under the Canadian Human Rights Act as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Bank Canada does not use such information for decision making purposes relating to the position contemplated in this application.
• As a provincially regulated entity, MUFG Securities Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Human Rights Code (Ontario) and the Employment Standards Act (Ontario). Where MUFG Securities Canada obtains information relating to protected grounds under the Human Rights Code (Ontario) as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Securities Canada does not use such information for decision making purposes relating to the position contemplated in this application.

On-Boarding:

• Execute Bi-Annual Revalidation framework to reconfirm ownership of client base in Salesforce
• Monitor ad-hoc Ownership validation triggers (i.e. leavers/inactive owners, mid revalidation cycle, new clients onboarded) ensuring approvals in SF.Execute Bi
• -Annual Client Contact Validation Framework attesting/updating the email contacts being used for client communications in Salesforce
• Responsible for resolving Sales Client Hierarchies setup in EDM to ensure clients feed into Salesforce and are accurately represented for SF activities (i.e. Ownership, Offboarding, Contacts)
• Review the Shared Client Framework identifying shared relationships with the Bank and updating relevant systems (Salesforce, JIRA -or KYC) with the same.

Offboarding:

• Co-ordinate Client Offboarding process (BAU)
• Manage the Client Offboarding process (commercial viability – twice year)
• Administer the Trade block process in case of Credit Events or Overdue KYC
• Collaborate with the Sales Team to correct offboards that are stuck due to inactive users etc.
• Confirm there are no live trades preventing closure
• Responsible for barring clients in EDM and working to close open tasks by other users stopping us from barring
• Develop and Review Control reports to ensure all booking accounts/systems are closed for offboards

Client Re-Tiering:

• Work closely with FO in MUSA, EMEA and Asia on On-Boarding new clients to analyze the Client Hierarchy and Client Tiering in line with Project Birch
• Complete client re-tiering with FO Primary Owners and ensure this is validated and completed in Salesforce
• Monitor and evaluate client corporate actions and ensure these are reflected in Salesforce and EDM

KYC Responsibilities:

• Support the KYC due diligence process and Client Tiering process by engaging and closely collaborating with Sales & Trading, Product Groups, Onboarding Unit, Quality Control, AML Advisory and other stakeholders for the Swap Dealer.
• Partner with Sales & Trading / Product Groups to enable more enriched discussions on risk/AML/Sanctions compliance issues, while managing the progress of KYCs from an end to end basis for an assigned list of clients;
• Monitor and review business activities across various product areas, while fulfilling responsibilities related to Request for Information (RFIs) related to KYC/risk/compliance issues identified as part of the KYC due diligence;
• Responsible for maintaining an understanding of various Global Markets client relationships, working with various local product areas & other global stakeholders to understand business ties, and taking ownership of client due diligence review as part of assessing relationship/product risk as critical functions to help various Global Markets Group;

Cash DvP Limit Maintenance Governance:

• Prepare and distribute material for the monthly DvP Governance committee by coordinating with support teams to ensure the timely
• Showcase high proficiency in identifying risk flags, supported by rigorous trainings and guidance from Process Governance, AML Advisory & other stakeholders and Program Birch.