Sanctions Customer Due Diligence, Analyst
Irving, TX job
**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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
**Summary:**
This individual will serve as an analyst on the Relationship Review Unit within the Global Sanctions Advisory discipline of the Global Sanctions Compliance Department (GSCD), conducting sanctions customer due diligence (CDD) reviews for MUFG customers globally. The analyst will work with regional financial crimes offices, First Line of Defense teams in the Americas, and other teams within Global Sanctions Advisory to review customers' sanctions exposure and document an analysis of the customer's risk to the bank.
**Responsibilities:**
+ Perform sanctions due diligence reviews on prospective and existing customers at time of onboarding, periodic KYC review, or ad-hoc KYC review.
+ Review customer exposure against applicable sanctions regulations and MUFG policies.
+ Draw and document informed conclusions based on applicable sanctions risks.
+ Understand and interpret sanctions regulations and monitor changes to such regulations.
+ Coordinate with regional financial crimes offices and First Line of Defense teams on sanctions CDD reviews and initiatives.
+ Collaborate with other teams within Global Sanctions Advisory to conduct investigations into complex fact patterns and customers presenting heightened sanctions risks.
**Requirements:**
+ Bachelor's degree is required, preferably in international relations, foreign policy, political science, or economics.
+ Strong verbal and written communication skills.
+ Strong attention to detail.
+ Interest in foreign policy and international relations landscape.
+ Ability to manage competing priorities, work independently to deliver results.
+ Ability to conduct complex investigations and draft write-ups to explain to senior team members
The typical base pay range for this role is between $67,000 to $80,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary (*************************************************************************************************
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Global Financial Crimes Issues Management, Program Governance & Administration - Associate/AVP
Irving, TX job
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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.Job Summary:
This role is in the Global Financial Crimes Division (GFCD) of MUFG Bank, Ltd. The role will be focused on supporting the administration and execution of the GFCD Issues Management Department (IM), by developing governance and procedural documents, providing guidance to ensure conformance with Program Governance requirements, and creating training materials and job aids. The role will also oversee the review and challenge processes and coordinate the implementation and execution of the GFCD IM Standard and Procedures across MUFG's Global network and will report directly to the Head of GFCD IM Program Governance.
Responsibilities:
Liaise across all three of the MUFG financial crimes compliance lines of defense, including core second-line programs in Financial Crimes (Sanctions, Anti-Money Laundering, Anti-Bribery & Corruption) and Core Compliance, business functions, Internal Audit, Compliance Testing, and Exam & Audit Management in furtherance of Issues Management policy, standard, and procedure implementation and execution
Develop subject matter expertise regarding Issues Management policy, standard, and procedures
Drive review, development, and enhancement of Issues Management policy, standard, procedures, control documents, training materials, along with other program execution documents
Collaborate with regional financial crimes offices to align global and regional requirements for Issues Management policy and procedures, including review & challenge processes
Collaborate and liaise with stakeholders to drive consistently in the implementation of GFCD policies and policies across all three MUFG lines of defense
Support compliance activities and perform program governance duties, including projects and ad hoc duties as assigned
Administer and provide substantive content in connection with key governance forums, including staff and stakeholder meetings
Qualifications:
3 plus years of experience in Financial Services, preferably in Financial Crimes Compliance, Risk Management, Internal Audit or related areas
Experience drafting, reviewing, implementing, and monitoring policies and procedures
Proven track record of designing and delivering training in a professional setting
Experience managing and tracking projects or organizational objectives
Strong interpersonal and written communication skills
Excellent problem-solving skills
Team-oriented approach to completing objectives
Ability to influence key stakeholders across various divisions within MUFG
Strong ability to drive complex discussions with MUFG management and stakeholders
BA/BS Degree preferred
ACAMS, relevant professional qualification, and/or experience in client-service industry is a plus
Up to 10%, travel for international and domestic
The typical base pay range for this role is between $85,000 to $109,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
Auto-ApplyGlobal Financial Crimes, Risk Assessment & Monitoring - Vice President
Irving, TX job
**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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
**Job Summary:**
This position will be responsible for supporting MUFG's financial crimes compliance ("FCC") risk assessment and monitoring activities globally. In this role, the successful candidate will work with various functions across lines of business, entities, and jurisdictions and will assist with key elements of MUFG's global FCC risk management framework.
**Major Responsibilities:**
Risk Assessment
+ Supporting the design and execution of MUFG's risk assessment processes.
+ Serving as subject matter expert for risk assessment-related matters, including providing review and challenge with respect to local or entity-specific risk assessments.
+ Financial Crimes experience including a background with AML, Sanctions, or ABC, including supporting advisory, program management/governance, and reporting.
+ Keeping abreast of risk assessment trends across the industry.
Monitoring (Quarterly Risk Assessment Refresh)
+ Leading the quarterly risk assessment refresh process as part of ongoing program monitoring; and
+ Reviewing quarterly results, presenting them to management, and integrating them into the annual risk assessment, as appropriate.
Risk Appetite
+ Coordinating the risk appetite setting and monitoring process.
+ Monitoring for adherence to risk appetite thresholds; and
+ Preparing management reporting.
**Qualifications:**
+ Bachelor's degree or equivalent required; law degree or master's degree welcome.
+ Minimum of 10 years' experience in banking or other financial institutions with at least 5-6 years in risk management, preferably in the compliance/FCC space.
+ Ability to analyze financial risk factors across customers, geographies, products and transactions for at least one of the risk disciplines, i.e. AML, Sanctions, or ABC
+ Ability to summarize analysis, identify key drivers, draw conclusions, and draft risk assessment reports
+ Strong knowledge of FCC banking requirements as well as strong writing and communication skills.
+ Team player and ability to work collaboratively.
+ Strong project management and organizational skills with the ability to multi-task and manage competing priorities.
+ Ability to establish and maintain strong relationships across multiple departments and work horizontally across teams and at various levels in the organizational hierarchy; and
+ Proficiency with Microsoft Office products (Word, Excel, PowerPoint) and knowledge of reporting/analytics tools, such as Power Bi and Tableau.
The typical base pay range for this role is between $105K - $164K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary (*************************************************************************************************
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
IT Business Analyst
Dallas, TX job
Title: IT Business Analyst I
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MUFG Investor Services is part of Mitsubishi UFJ Financial Group - one of the world's largest financial institutions. We provide comprehensive fund administration, reporting, and transaction management services for alternative assets with a focus on Private Equity investments including fund-of-funds, secondary funds, and co-investments.
At MUFG Investor Services, we foster a dynamic and supportive work environment where employees can build long-term careers. We offer competitive compensation, professional development support-including certification reimbursement - flexible work arrangements, and opportunities to give back through community service initiatives.
We celebrate our employees' successes, believing that empowered individuals drive organizational excellence. If you're passionate about your work and looking to grow with a purpose-driven team, we'd love to hear from you.
Job Description:
MUFG is seeking an IT Business Analyst I to support dynamic initiatives within its Private Equity business. This is a remote role focused on analyzing financial processes, defining technology requirements, and partnering with agile teams to deliver impactful solutions.
The position involves cross-functional collaboration across business and technology groups. Depending on project needs, responsibilities may span both business analysis and delivery management, offering a unique opportunity to contribute to end-to-end solution delivery.
Essential Functions:
Translate financial and accounting requirements into actionable software specifications.
Conduct user interviews to identify process improvement opportunities and document current (“As-Is”) and future (“To-Be”) workflows.
Troubleshoot issues in eFront FrontInvest and provide backup support for system administration.
Create and maintain documentation including meeting notes, knowledge articles, and business communications.
Build strong relationships with internal and external stakeholders to drive positive change.
Write and manage user stories and backlog items in Team Foundation Server.
Serve as the Agile Team's Scrum Master for assigned initiatives.
Support prioritization decisions and manage execution of prioritized work.
Collaborate with users to develop and execute test cases during system integration testing.
Deliver demos of completed enhancements to end users.
Work closely with developers to clarify requirements and ensure business needs are met.
Ensure adherence to SDLC and Change Management processes; conduct internal audits for compliance.
Act as a flexible team member, taking on overflow or backfill tasks as needed.
Monitor team performance, generate reports, and lead corrective actions.
Help remove obstacles that hinder team progress.
Global Financial Crimes Transaction Monitoring, Assistant Vice President
Irving, TX job
**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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Reporting into the Head of GFCD Design, Tuning and Optimization, this new position has been created for the purpose of establishing GFCD Global TM capabilities for MUFG.
One of several key positions in the Global Financial Crimes Division Transaction Monitoring function, this position will be responsible for providing strategic execution of the AML control globally for MUFG.
**Major Responsibilities:**
+ In connection with the Global Financial Crimes program -
+ Develop mathematical or statistical theory/models to interpret customer KYC data and historical transaction data to group customers and non-customers into segments and clusters in order to monitor their activity in the correct TM thresholds.
+ Create statistical representative samples for ATL/BTL testing using hypergeometric sampling techniques in order to validate that the transaction monitoring model is effective and functioning accordingly.
+ Process large amount of data for statistical modeling and graphic analysis.
+ Conduct data profiling to validate relevant data and data sets to be used for customer segmentation and tuning initiatives.
+ Support in the creation of detail documentation which includes scenario logic, identified tunable and static parameters and deminimus values for all parameters.
+ Analyze data and sample to ensure accuracy of key data elements for alert generation
**Experience/Skills**
+ Knowledge of mathematics particularly statistics.
+ Ability to code using R or Python for customer segmentation and data analytics.
+ Ability to solve problems through mathematical and deductive reasoning.
+ 3-5 years' experience designing, analyzing, testing and/or validating BSA/AML models, and/or OFAC sanctions screening models.
+ Familiarity implementing, testing or evaluating performance of financial crime and compliance systems.
+ Proven track record of strong quantitative testing and statistical analysis techniques as it pertains to BSA/AML models, including name similarity matching, classification accuracy testing, unsupervised/supervised machine learning, neural networks, fuzzy logic matching, decision trees, etc.
+ Familiarity of current compliance rules and regulations of the FRB, SEC, OCC, FATF, FinCEN, OFAC, and familiarity with USA PATRIOT Act, BSA/AML and OFAC screening regulations.
+ Prior experience designing compliance program tuning and configuration methodologies, including what-if detection scenario analytics, excess over threshold, and sampling above/below-the-line (ATL/BTL) testing.
+ Working knowledge of one or more of the following programming platforms: SAS, Matlab, R, Python, SQL, VBA, etc.
+ Familiarity with vendor models like Actimize SAM, SAS, SearchSpace, Mantas, OTUS, or SIRON.
**Education**
Bachelor's degree in statistics, mathematics, quantitative analysis, economics, computer science, data and technology Sciences or related field is required. Advance degree a plus.
The typical base pay range for this role is between $90k-$112k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary (*************************************************************************************************
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Global EDD Operations Analyst
Irving, TX job
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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.Job Summary:
The Enhanced Due Diligence (“EDD”) Operations Analyst will be responsible for performing EDD on Financial Institution (“FI”) clients, for example Foreign Banks, Foreign Financial Institutions, Broker-Dealers, Money Service Businesses (“MSBs”), Third-Party Payment Processors (“TPPPs”) etc. This position will be located in Irving, TX. The Analyst will be responsible for reviewing a variety of cases of varying complexity, requiring a level of experience needed to effectively assess client's profile, its AML program, transactions and customer relationships, and provide holistic assessment of the potential financial crime risks.
Major Responsibilities:
The analyst will review and ensure that EDD documentation is appropriate.
Review and assess information about the FFIs' AML programs, for example by using the Wolfsberg CBDDQ responses
Review transactional data and identify any potential red flags/inconsistencies within a given timeframe
Conduct screening in accordance with Bank policy and escalate true hits to Adverse Findings.
Identify red flags and escalate accordingly using sound judgement
Synthesize information from multiple data sources into a clear evaluation and recommended actions
Prepare detailed and concise client narratives
Generates a list of Proposed Questions for AML Advisory in preparation for the customer site visit/call
Performs additional due diligence based on the outcome of the Site Visits/Calls as needed
In addition to maintaining daily operations, ad-hoc projects will be assigned regularly
Qualifications:
Experience in AML/BSA Compliance & KYC preferably within the financial services industry with experience conducting EDD on foreign financial institutions.
Experience reviewing comprehensive documents inclusive of complex ownership structures and Wolfsberg Questionnaires (CBDDQ, FCCQ and AML programs of FI clients).
Strong working knowledge of AML/BSA/OFAC laws and regulations relative to money laundering and terrorist financing and the ability to apply this knowledge in assessing transaction activity and customer profiles.
Excellent organizational communication (with a focus on writing), interpersonal, and analytical skills, are required. Must be able to multi-task, adapt well to changing priorities, and effectively prioritize workflow to meet critical deadlines.
Critical thinking and problem-solving skills a must.
Ability to work in a fast-paced, demanding environment and must work well under pressure.
The ability and willingness to work both independently and in a team environment is required.
Maintains effective working relationships with key business partners.
Familiarity with Actimize and other financial crime, risk and compliance applications is a plus.
Effective Internet and research skills and usage of third party tools.
Strong proficiency in Microsoft Excel.
Bachelor's Degree and CAMS certification preferred or equivalent work experience.
The typical base pay range for this role is between $71,000 to $85,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
Auto-ApplyGlobal Financial Crimes - Americas Issues Management Regulatory & Audit Reporting Coordination, Assistant Vice President
Irving, TX job
**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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
This Associate Vice President (AVP) role in the Global Financial Crimes Division ("GFCD") and Americas Compliance function of MUFG Bank, Ltd. will report to the Vice President, Americas Issues Management Regulatory & Audit Reporting Coordination ("VP") in the Issues Management Operations Team. The role will support the VP in leading the coordination and delivery of Americas core compliance and financial crimes compliance issues data and information for regulatory and Internal Audit engagement requests including:
+ Identification of responsive issues management data and information;
+ Research and coordination with appropriate stakeholders to provide the most accurate information possible in support of these engagements; and
+ Development of data, analyses, and presentation materials.
The candidate must have excellent data processing and communication skills and be able to contribute to the overall advancement and integration of core program objectives across the global and Americas Issues Management Department. The candidate must: demonstrate advanced proficiency in Excel, PowerPoint, and Word; provide thought and project leadership; possess excellent information generation / presentation skills; demonstrated project delivery; and communicate and collaborate effectively with senior management, colleagues, and teammates in all three lines of defense.
**Major Responsibilities:**
+ Gain familiarity with the MUFG financial crimes compliance framework, including the roles of Internal Audit and Compliance Testing.
+ Develop an understanding of global Anti-Money Laundering ("AML"), Sanctions, and Anti-Bribery & Corruption ("ABC") regulatory regimes.
+ Work with the VP and appropriate stakeholders across all three of the MUFG lines of defense, including second-line Compliance programs, Review Functions, Examination & Audit Management, and Regulatory Exam Management to set and manage expectations for the delivery of regulatory and Internal Audit data request engagements.
+ Work with the VP to develop repeatable, standardized, and sustainable processes that can be leveraged across various regulatory and Internal Audit data request engagements.
+ Create/ maintain detailed process documentation for Americas IM Regulatory & Audit Reporting processes.
+ Assist in the identification of responsive data working with the VP and stakeholders, as appropriate.
+ Support the VP to provide the most accurate information possible in support of these engagements, including the development of data, analyses, and presentation materials.
+ Analyze issues data and provide actionable insights that lead to program enhancement opportunities in Americas IM Regulatory & Audit Reporting processes.
+ Develop subject matter expertise regarding Issues Management policy, standard, and procedures.
+ Support the Director, GFCD and Americas Compliance Issues Management and the Director of IM Operations in program development and execution, working with other members of the Issues Management team on strategic and operational enhancement.
+ Lead or support IM Data Management Operations, Analysis, and Reporting activities, including special projects and ad hoc duties as assigned.
**Qualifications:**
+ 3-5 years of experience in Financial Services, preferably in Compliance, Risk Management or related areas.
+ Excellent written and verbal communication skills. Experience in creating high-quality presentations, reports, and process documentation.
+ Experience performing analysis with demonstrated advanced proficiency in Excel, Word, and PowerPoint.
+ Familiarity with other data management or data visualization tools is preferred.
+ Track record in program management and coordination / integration efforts across multiple groups.
+ Strong ability to drive complex discussions with senior management and stakeholders.
+ Excellent problem solving and interpersonal communication skills, takes initiative proactively.
+ Team player with willingness to learn, take initiative, and work hard.
+ Ability to influence key stakeholders across various divisions within MUFG.
+ BBA/BA/BS Degree required.
+ ACAMS, relevant professional qualification, and/or experience in client-service industry is a plus.
+ Up to 10% travel, international and domestic.
The typical base pay range for this role is between $71k-$112k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summar (************************************************************************************************* y
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Global Financial Crimes Compliance Testing, Vice President
Irving, TX job
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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Job Summary:
Responsible for supporting the Global Financial Crimes Compliance Testing (GFCCT) function in performing deep dives and targeted risk-based thematic reviews of financial crimes compliance (AML, Sanctions, ABC) processes globally with an emphasis on the design adequacy and effectiveness of measures (controls) taken to monitor and mitigate financial crimes risk.
Major Responsibilities:
Lead, or participate on, a team of testers in conducting and supporting financial crimes compliance reviews for MUFG Bank, Ltd. branches globally, that evaluate the effectiveness of existing financial crimes compliance frameworks, as well as the design and implementation of relevant controls, such as escalation processes, documentation of policies and procedures, reporting, list screening, regulatory change management, governance frameworks, and training
Develop test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments, and lessons learned from regulatory findings and internally identified issues by compliance testing and internal audit
Assist in implementation of a coordinated, consistent and risk-based testing program
Assist in developing and maintaining quality control processes to drive adherence to Global Testing Standards
Assist in the drive of central coordination, governance, and reporting, leveraging regional structures and best practices
Prepare/review reports summarizing the objectives, scope, findings and conclusions of completed testing
Assist in the validation of Management Action Plans designed to address remediation efforts and testing findings
Coordinate with Issues Management to monitor and track resolution of testing findings
Assist with establishing appropriate testing management routines and ensure proper awareness of testing review results through reporting and other means
Monitor developments, such as changes in the regulatory environment, which may necessitate ad hoc testing
Support general compliance activities and other duties, including special projects as assigned
Qualifications:
BA/BS Degree required; JD, CPA and/or CAMS a plus
At least 7 years of experience within the financial crimes compliance area of a global bank, consulting firm or regulatory agency
Experience with compliance testing, quality control/assurance processes and/or internal/external audits
Minimum of 3 to 4 years of experience leading testing efforts in, or exposure to, quality control or quality management functions and results
Knowledge of financial crimes compliance laws and regulations
Excellent judgment and analytical skills
Test script/procedure creation and/or experience with the test scripting process
Experience in leading diverse testing teams
Strong written and verbal communication skills • Some travel may be required, domestic and international
The typical base pay range for this role is between $114k - $160k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
Auto-ApplySanctions Customer Due Diligence, Analyst
Irving, TX job
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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Summary:
This individual will serve as an analyst on the Relationship Review Unit within the Global Sanctions Advisory discipline of the Global Sanctions Compliance Department (GSCD), conducting sanctions customer due diligence (CDD) reviews for MUFG customers globally. The analyst will work with regional financial crimes offices, First Line of Defense teams in the Americas, and other teams within Global Sanctions Advisory to review customers' sanctions exposure and document an analysis of the customer's risk to the bank.
Responsibilities:
Perform sanctions due diligence reviews on prospective and existing customers at time of onboarding, periodic KYC review, or ad-hoc KYC review.
Review customer exposure against applicable sanctions regulations and MUFG policies.
Draw and document informed conclusions based on applicable sanctions risks.
Understand and interpret sanctions regulations and monitor changes to such regulations.
Coordinate with regional financial crimes offices and First Line of Defense teams on sanctions CDD reviews and initiatives.
Collaborate with other teams within Global Sanctions Advisory to conduct investigations into complex fact patterns and customers presenting heightened sanctions risks.
Requirements:
Bachelor's degree is required, preferably in international relations, foreign policy, political science, or economics.
Strong verbal and written communication skills.
Strong attention to detail.
Interest in foreign policy and international relations landscape.
Ability to manage competing priorities, work independently to deliver results.
Ability to conduct complex investigations and draft write-ups to explain to senior team members
The typical base pay range for this role is between $67,000 to $80,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
Auto-ApplyFinancial Reporting Anlayst
Dallas, TX job
This entry-level position will have the primary responsibility of analyzing the quarterly financial statements of private equity partnership investments and recording/reconciling the transactions in the investment accounting system. In addition, the financial reporting analyst will assist in the preparation of historical investment performance analysis and reports. A partial list of responsibilities and skills includes:
Analyzing quarterly financial statements from underlying investment managers
Work closely with the fund accounting team to input valuation data to the investment accounting system
Complete individual assigned valuation work to meet quarterly fund reporting deadlines
Provide data and ad hoc reports to the investment analyst team as needed
Associate Director, Business Development
Dallas, TX job
The Business Development Associate Director will be responsible for overseeing the entirety of business development as a corporate service for MUFG Capital Analytics. In addition to developing new business opportunities for a successful private market fund administrator and business technology consultant within a global top five financial institution, this colleague will continue to evolve this strategic corporate function by overseeing and executing targeted digital bd campaigns, developing channel partnerships and identifying appropriate RFP opportunities. They will work closely with the marketing team to develop and implement strategies to reach potential clients, and utilize market segmented customer lists, attend networking events, and conduct individual research to create leads. The successful candidate will be aggressive in following up on leads with phone calls, emails and in-person prospecting. Further, the ideal candidate is social, people-oriented and thrives in a team environment. This role will work closely as a partner to marketing, sales and client relationship management.
About the Company:
MUFG Capital Analytics LLC (MCA) is part of the Mitsubishi UFJ Financial Group, (MUFG) one of the largest financial groups in the world. As such we are dedicated to providing our clients with the top quality service and our employees a rewarding career. We provide record-keeping, reporting and transaction management services to the Private Equity and Institutional Investor & Pension Fund communities. This includes overseeing fund administration across various asset classes including: Merchant Banking, Venture Capital, Real Estate and Fund Related Investments which includes fund of private equity funds, secondary funds and co-investment funds. Capital Analytics also provides Professional Services and Data Services to the market offering solutions for investment data analytics, data and technology integrations, system selection and vendor selection among others. To our employees we offer a stimulating environment where they can grow as a professional and develop long term careers, not just another job. To this end we ensure our professionals have the support to achieve their career development and goals including professional certification reimbursement programs. In addition to competitive salaries, a casual work environment and an excellent benefits program we give our employees the chance to give back to the community through our social service activities.
We celebrate our employee's successes and believe successful employees lead to successful businesses. If you take pride in your work and want to take pride in your employer- contact us.
Business Development Associate Director Responsibilities:
Oversee the business of Business Development as a corporate service for MUFG Capital Analytics
Identify and develop new business opportunities for MUFG Capital Analytics
Develop channel partnerships to drive leads
Use market segmented customer lists, attend networking events, and conduct individual research to create leads
Follow up on leads with phone calls, emails and in-person meetings
Act as a partner to marketing to develop and implement strategies to reach potential clients
Develop and maintain strong relationships with potential clients
Develop and maintain strong relationships with internal cross-business partners
Stay up to date on industry trends and developments
Collaborate with team members to ensure a cohesive approach to business development
Participate in team meetings and provide regular updates on progress
Global Financial Crimes, Issues Management - Reporting & Data Analysis, Analyst
Irving, TX job
**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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
**_Job Summary:_**
This Analyst role in the Global Financial Crimes Division of MUFG Bank, Ltd. ("GFCD") will report to the Vice President, GFCD Issues Management ("IM") Reporting & Analysis Team ("VP"). The Analyst will support the VP and the team in leading the coordination and delivery of financial crimes compliance issues program in accordance with the Global Financial Crimes Compliance Escalation and Issue Management Standard, for MUFG locations globally including:
+ Identification of responsive issues management data and information.
+ Research and coordination with appropriate stakeholders to provide the most accurate information possible in support of these engagements.
+ Development of data, analyses, and presentation materials.
In addition to GFCD, the position will also support Americas Compliance and Core Compliance IM data analysis and reporting activities. The candidate must have excellent data processing and communication skills and be able to contribute to the overall advancement and integration of core program objectives across the global Issues Management Department.
**Major Responsibilities:**
+ Gain familiarity with the MUFG financial crimes compliance framework, including the roles of Internal Audit and Compliance Testing.
+ Develop an understanding of global Anti-Money Laundering ("AML"), Sanctions, and Anti-Bribery & Corruption ("ABC") regulatory regimes.
+ Develop subject matter expertise regarding Issues Management ("IM") policy, standard, and procedures.
+ Develop partnerships with stakeholders to drive implementation of end-to-end GFCD Issues Management processes and procedures.
+ Support the IM Operations Regulatory & Audit Reporting Coordination Team to develop repeatable, standardized, and sustainable reporting and analyses processes.
+ Support the GFCD IM Reporting & Analysis Team to provide the most accurate information possible in support of these engagements, including the development of data, analyses, and presentation materials.
+ Support the GFCD IM Team on various ad-hoc activities, as appropriate, including Annual Renewal of GFCD IM Procedures. Discuss process improvement opportunities with GFCD IM Global and Regional Team colleagues.
+ Create/ maintain detailed process documentation for GFCD IM Reporting & Analysis Team processes.
+ Support the Director, GFCD and Americas Compliance Issues Management and the Director of IM Operations in program development and execution, working with other members of the Issues Management team on strategic and operational enhancement.
**Qualifications:**
+ 0 - 3 years of experience in Financial Services, preferably in Compliance, Risk Management or related areas.
+ Proficiency/ Advanced Proficiency in Excel, Word, and PowerPoint. Familiarity with other data management or data visualization tools is preferred.
+ Team player with willingness to learn, take initiatives, and work hard.
+ Good work ethics with strong verbal and written communication skills.
+ BBA/BA/BS Degree required.
The typical base pay range for this role is between $64k-$78k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary (*************************************************************************************************
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Jr. System Support Analyst
Dallas, TX job
Title: Jr. System Support Analyst
MUFG Investor Services is part of the Mitsubishi UFJ Union Financial Group (MUFG), one of the largest financial groups in the world. As such we are dedicated to providing our clients with the top-quality service and our employees with a rewarding career. To our clients, we provide record-keeping, reporting and transaction management services to the Private Equity community. This includes overseeing fund administration across various asset classes including Merchant Banking, Venture Capital, Real Estate and Fund Related Investments which includes fund of private equity funds, secondary funds and co-investment funds. MUFG also provides customized reporting, analysis and transaction management for foundations, pension plans and other private equity investors interested in a consolidated view of their entire alternative and traditional investment portfolio.
To our employees we offer a stimulating environment where they can grow as a professional and develop long term careers, not just another job. To this end we ensure our professionals have the support to achieve their career development and goals including professional certification reimbursement programs. In addition to competitive salaries, a casual work environment and an excellent benefits program we give our employees the chance to give back to the community through our social service activities.
We celebrate our employee's successes and believe successful employees lead to successful businesses. If you take pride in your work and want to take pride in your employer- contact us.
Job Description:
MUFG is seeking a System Support Analyst with a strong accounting and/or financial background to join our team. This growth-oriented position will have the primary responsibility of supporting the applications used by MUFG. This individual will be responsible for responding to user submitted tickets, processing the ticket's request, and working with the business and/or technology to facilitate any testing or answer any questions under the direction of the Sr. System Support Manager. An understanding of current accounting principles and how they are applied to the accounting and financial reporting of Private Equity Fund of Funds is strongly preferred but not required.
Responsibilities:
Reviewing and processing user submitted tickets in a timely manner.
Research and resolve application issues as directed by the Sr. System Support Manager.
Ensure user submitted help tickets have the appropriate documentation attached to the ticket as directed by the Sr. System Support Manager.
Ensure user submitted help tickets have been resolved and closed appropriately
Review and update user documentation describing the “best practices and processes” for using the system under the direction of the Sr. System Support Manager.
Maintain a working knowledge of current accounting principles as they pertain to Private Equity and the systems used by MUFG.
Perform user access reviews for applications used by MUFG.
Maintenance and support of daily operations related to applications used by MUFG.
Fund Controller
Dallas, TX job
The controller ensures financial data is accurate according to client prescribed method of accounting, and ensures that reporting deadlines are met. The ability to interpret investment legal documentation and other source documents with a US GAAP application for investment companies is critical. The Controller will apply professional principles, practices and techniques to handle client relationship with innovative technology skills and processes. A partial list of responsibilities and skills includes:
Responsible for the day-to-day client relationship with the ability to triage questions and requests as well as provide guidance on private equity accounting and reporting
Facilitate discussions between the client and internal groups, and manage all required documentation relative to the discussion
Review and analyze capital structures for investments to determine what the accounting and related data requirements should be between the investment and fund
Review capital calls, distributions, and valuation activity for investments of the client
Review client reports and financial statements for accuracy and completeness while meeting all internal and external reporting deadlines
Manage of technical research and application of US GAAP to accounting issues pertaining to investment companies and issues occurring in the investments.
Plan, direct and supervise the efforts of a team to understand client requirements and deliver quality services on time in an efficient manner
Automate and document processes as needed
Perform any additional responsibilities that may be required by management in support of the ongoing development of the client
Supervise employees to ensure quality and productivity
Work collaboratively with technology and support personnel and maintain thorough knowledge of system capabilities and best practices
Compliance Professional
Irving, TX job
**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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
**Duties:** Conducting effectiveness testing in HotScan and Nice Actimize to assess screening effectiveness. Performing global sanctions screening using tools (Lexis Nexis Bridger and CGI Hot Scan). Utilizing Dow Jones, World Check and Lexis Nexis watch lists; reducing false positives, optimizing AML/sanctions processes, and ensuring regulatory compliance. Applying data analysis using SQL or python to produce visualizations and supporting screening filter testing and documenting the qualitative and quantitative analysis. Automating manual processes using Visual Studio and C# to improve efficiency. Utilizing Global sanctions watch lists and Politically exposed Persons watch lists and adverse media watch lists. Performing focus tests to enhance name-matching algorithms and improve detection efficiency. Managing and executing Below the Line (BTL) activities for HotScan, ensuring compliance with regulatory standards. Generating statistical reports using SQL on the heavy hitters from HotScan real-time and Customer Screening on a weekly basis. Creating several bypass rules to reduce false positive ratio on real time and customer scanning, including vessel field bypass, Acronym bypass, Common Word Bypass, Ports and Cities bypass, Reverse bypass logic based on watch list and context-based bypass. Conducting thorough analysis to scope, document, and assess the feasibility of false-hit mitigation rules; ensuring rules are appropriately suited to various financial and regulatory contexts. Analyzing financial transaction types such as SWIFT MT and MX, FED Wires, and CHIPS to ensure rules are suitable and effective for a wide range of transaction types. Collaborating and working on the SWIFT mandatories' initiative ensuring that the newly introduced MX messages are properly integrated into the existing system and also ensure that any changes made to the existing MT messages are analyzed and integrated as necessary.
**Qualifications - External**
Education: Bachelor's Degree in Information Technology, Electronic Engineering, or a related technology field of study (or foreign equivalent degree).
Experience: 3 years of experience performing global sanctions screening using tools (Lexis Nexis Bridger and CGI Hot Scan); utilizing Dow Jones, World Check and Lexis Nexis watch lists; reducing false positives, optimizing AML/sanctions processes, and ensuring regulatory compliance; using SQL or python to produce visualizations and supporting screening filter testing and documenting the qualitative and quantitative analysis; automating manual processes using Visual Studio and C# to improve efficiency; and 2 years of experience must include utilizing Global sanctions watch lists and Politically exposed Persons watch lists and adverse media watch lists **.**
Travel: Position requires 10% domestic travel (AZ, NJ, NY, NC) for meetings and trainings.
Other: Position requires employment in-office 4 days per week and remotely 1 day per week.
Wage: $96,034 to $129,000 U.S. dollars per year
Employer: MUFG Bank, Ltd.
Location: Irving, TX 75038
**_Reference internal requisition #10074153-WD._**
We are committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our people and our business; Equal Opportunity Employer: Minority/Female/Disability/Veteran.
**\#LI-DNI**
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Operations Support Specialist
Dallas, TX job
Main Function: The Operation Support Specialist is responsible for reviewing and maintaining the Treasury Inbox, identifying the nature of incoming emails, and determining the appropriate action. This role involves organizing emails into designated folders and allocating them to the correct team members.
Key Responsibilities:
Email Management:
Identify capital call or distribution emails.
Allocate emails to appropriate folders or team members.
Document Handling:
Retrieve necessary documents from the investment portal and save them on the Share Drive.
Stage operations in the MUFG accounting system.
Notifications and Communication:
Notify Operations Accountants of new cash operations available for processing.
Review system-generated operation initial notice emails for accuracy.
Categorize operation types and assign to the appropriate Operation Accountant.
Create manual notices for investors.
Folder Management:
Move initial notices to the Approved Operations folder.
Organize all investment notification emails into the In Review folder.
Relationship Building:
Develop and foster positive working relationships with clients, internal teams, and external parties.
Communicate effectively and tactfully with individuals at all levels, both in person and over the phone.
Sr. Consultant
Dallas, TX job
Title: Senior Consultant, Business Transformation
In this critical role the Business Transformation Senior Consultant will work on a variety of projects that help integrate strategy, process, technology, and information to increase effectiveness, reduce costs and improve profit and shareholder value. S/he will collaborate with team members across the organization to provide Transformation Guidance. Below is a partial list of responsibilities:
Responsibilities
Be an effective communicator to liaise with internal clients and deliver excellent customer service
Analyze current business infrastructure in a critical manner, plan and report back on data found
Participate in design sessions to capture requirements and project development
Translate business requirements into report objects developed to tailor the needs of executive and functional users, as applicable
Provide solutions to improve the productivity and efficiency of the business
Provide suggestions of ways the business can adapt for the future
Be competent in conducting and delivering quantitative research
Have strong numerical ability to analyze performance metrics
Effectively manage projects from inception to completion
Lead teams to secure positive outcomes for organizations
Stay updated on Private Equity and Real Estate industry trends and best practices.
Global Financial Crimes Compliance Testing, Assistant Vice President
Irving, TX job
**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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
**Responsibilities:**
Responsible for supporting the Global Compliance Testing function by driving central governance of testing activities, standards, procedures, training, quality assurance, leveraging regional structures and best practices to perform deep dives and targeted risk-based thematic reviews of Financial Crimes Compliance (AML, Sanctions, ABC) and Core Compliance processes globally with an emphasis on the design adequacy and operational effectiveness of measures (controls) taken to monitor and mitigate applicable risk.
+ Play a key role in the development and enhancements to testing methodology, standards and procedures, Annual Test Plan, testing tools and training.
+ Address inquiries from Global and Regional Testing Units, regarding the requirements of the testing standard and procedure.
+ Work closely with key stakeholders to understand business and functional requirements and support management in developing test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments, lessons learned from regulatory findings and internally identified issues by compliance testing and internal audit.
+ Coordinate with Global and Regional Testing units to identify use cases for the use of artificial intelligence within the execution of testing, as well as testing of processes utilizing artificial intelligence.
+ Play a leading role in financial crimes and/or core compliance related projects and engage with global and regional compliance management in the implementation of a coordinated, consistent, and risk-based testing program.
+ Execute quality control processes to drive adherence to Global Testing Standards.
+ Apply in-depth subject matter and industry expertise in reviewing reports summarizing the objectives, scope, findings, and conclusions of completed testing.
+ Monitor developments, such as changes in the regulatory environment, financial crime/core compliance risks and industry developments which may necessitate ad hoc testing.
+ Support general compliance activities and other duties, including special projects as assigned
**_Qualifications:_**
+ 3+ years of relevant experience, including experience in the financial crimes compliance and/or core compliance area of a global bank, consulting firm, or regulatory agency.
+ Experience with performing compliance testing, quality control/assurance processes or internal/external audits preferred.
+ Knowledge of financial crimes compliance and/or core compliance laws and regulations.
+ Excellent judgment and analytical skills.
+ Proficient in Microsoft Suite of products, including Outlook, Excel and Powerpoint.
+ Experience in working in diverse teams.
+ Strong written and verbal communication skills.
+ BA/BS Degree required; CPA, and/or CAMS a plus.
+ Some travel may be required, domestic and international.
The typical base pay range for this role is between $88,000 to $109,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary (*************************************************************************************************
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Global EDD Operations Analyst
Irving, TX job
**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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
**Job Summary:**
The Enhanced Due Diligence ("EDD") Operations Analyst will be responsible for performing EDD on Financial Institution ("FI") clients, for example Foreign Banks, Foreign Financial Institutions, Broker-Dealers, Money Service Businesses ("MSBs"), Third-Party Payment Processors ("TPPPs") etc. This position will be located in Irving, TX. The Analyst will be responsible for reviewing a variety of cases of varying complexity, requiring a level of experience needed to effectively assess client's profile, its AML program, transactions and customer relationships, and provide holistic assessment of the potential financial crime risks.
**Major Responsibilities:**
+ The analyst will review and ensure that EDD documentation is appropriate.
+ Review and assess information about the FFIs' AML programs, for example by using the Wolfsberg CBDDQ responses
+ Review transactional data and identify any potential red flags/inconsistencies within a given timeframe
+ Conduct screening in accordance with Bank policy and escalate true hits to Adverse Findings.
+ Identify red flags and escalate accordingly using sound judgement
+ Synthesize information from multiple data sources into a clear evaluation and recommended actions
+ Prepare detailed and concise client narratives
+ Generates a list of Proposed Questions for AML Advisory in preparation for the customer site visit/call
+ Performs additional due diligence based on the outcome of the Site Visits/Calls as needed
+ In addition to maintaining daily operations, ad-hoc projects will be assigned regularly
**Qualifications:**
+ Experience in AML/BSA Compliance & KYC preferably within the financial services industry with experience conducting EDD on foreign financial institutions.
+ Experience reviewing comprehensive documents inclusive of complex ownership structures and Wolfsberg Questionnaires (CBDDQ, FCCQ and AML programs of FI clients).
+ Strong working knowledge of AML/BSA/OFAC laws and regulations relative to money laundering and terrorist financing and the ability to apply this knowledge in assessing transaction activity and customer profiles.
+ Excellent organizational communication (with a focus on writing), interpersonal, and analytical skills, are required. Must be able to multi-task, adapt well to changing priorities, and effectively prioritize workflow to meet critical deadlines.
+ Critical thinking and problem-solving skills a must.
+ Ability to work in a fast-paced, demanding environment and must work well under pressure.
+ The ability and willingness to work both independently and in a team environment is required.
+ Maintains effective working relationships with key business partners.
+ Familiarity with Actimize and other financial crime, risk and compliance applications is a plus.
+ Effective Internet and research skills and usage of third party tools.
+ Strong proficiency in Microsoft Excel.
+ Bachelor's Degree and CAMS certification preferred or equivalent work experience.
The typical base pay range for this role is between $71,000 to $85,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary (*************************************************************************************************
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Compliance, Control Room - Vice President
Irving, TX job
**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 150,000 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.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
**Job Summary:**
The CCR administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and actions are taken to mitigate compliance risk.
**Principal functions and responsibilities:**
+ Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
+ Provide consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information and Personal Trading).
+ Execute projects as assigned by supervisor and/or Compliance senior management.
+ Assist in the maintenance of the Watch and Restricted Lists to prevent and detect insider trading by employees. These activities include the administration of requirements under applicable insider trading policies, centralized reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, and metrics and escalation reporting.
+ Perform transactional conflicts of interest (TCOI) process including review of TCOI submissions, escalation to U.S. management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls and any required risk mitigation.
+ Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matter; and respond to compliance related questions from management and staff.
+ Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee accordingly. Provide information for compliance reporting to management and governance groups.
**Qualifications:**
+ Bachelor's degree required, advanced degree (JD, MBA preferred)
+ 5-7 years of Compliance and Control Room experience required
+ FINRA Broker Dealer experience
+ Strong knowledge of financial markets, investment banking, capital markets and products
+ Outstanding analytical and organizational skills
+ Experience delivering on projects
+ Experience working in a large international organization preferred
+ Excellent communications skills (verbal and written)
+ Experience with Excel or Access
+ Series 7 a plus
The typical base pay range for this role is between $116,000 to $160,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary (*************************************************************************************************
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute