Assistant Vice President, Compliance Control Room

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The role is within the Asia Compliance Control Room (“CCR”) which forms part of the Regional Advisory & Control Room/Centre of Excellence Department in the Compliance Office for Asia (“ACO”). The role reports to the Regional Head of Control Room and works with the Asia CCR Team as well as the Global CCR Team which consist of 3 independent CCRs located at MUFG Bank: London, NYC and Tokyo. The Compliance Control Room effectively administers policies and procedures to prevent or detect insider trading while also identifying and managing potential transactional conflicts of interest. The role includes making sure that an efficient compliance program is established and maintained, ensuring compliance with relevant regulatory requirements, and that key compliance issues and actions are taken to mitigate compliance risk.

Job Responsibilities:

• Liaise with Head Office for development and enhancement of internal information management systems i.e.: Global Compliance Control Room System (GCCRS) and Global Conflict of Interest Management System (GCIMS), to increase the control room work efficiency through new work process.
• Seek opportunities to enhance efficiencies and streamline APAC CCR operational processes.
• Provide support to centralization initiatives and better integration of the compliance programs across country, region and globally such as COE, MGS CCR related initiatives.
• Cooperate with other ACO stakeholders, such as Advisory, Policy and Central Compliance teams, as well as delivering training, regional MI and risk assessments related to CCR SME topics.
• Provide close support to regional branches/units’ compliance in all CCR-related matters.
• Lend support in the coordination and delivery of initial and ongoing training for employees on CCR related topics and policies (e.g., Conflicts of Interest, and Material Non-Public Information.
• Manage the execution of assignments and provide guidance to junior members of CCR (whenever required).
• Execute projects as assigned by supervisor and/or Compliance senior management.
• Assist in the development and implementation of compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee accordingly.
• Advise the businesses and countries on CCR SME topics (Subject Matter Expert): Transactional Conflicts of interest (TCOI), Material Non-Public Information (MNPI) management, and Conflict Clearance.
• Conduct global conflict checks and ensuring potential conflicting transactions are appropriately escalated and managed.
• Perform information controls-related activities, such as insider registers management, secondary loan transactions, and periodic reviews.
• Streamline APAC CCR operational processes and contribute to the improvement of the systems and databases the Team uses.
• Stay abreast of developments, such as publicly available transactions and changes in the regulatory environment, which may be useful for day-to-day conflict management activities.
• Support general compliance activities and other duties, including special projects as assigned.
• Provide information for compliance reporting to management and governance.

Job Requirements:

• Minimum of 3 years of Conflicts Advisory and/or Control Room experience
• Degree qualified and professional experience
• Experience in financial markets and products.
• Ability to think strategically, and make risk-based decisions.
• Excellent presentation and internal stakeholder engagement skills.
• Demonstrates a high level of integrity.
• Excellent communications skills (verbal and written).
• Passion to lead change and drive towards achieving goals.
• Outstanding analytical and organizational skills.
• Ability to identify transactional conflicts of interest.
• Experience leading and delivering on projects.
• Experience working in a large international organization preferred.

Mitsubishi UFJ Financial Group (MUFG) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.