Assistant Vice President, FCP Compliance Specialist

Job title: Assistant Vice President, FCP Compliance Specialist

Company: MUFG Investor Services


Job description: Main Purpose of Role:To assist Asia Chief Compliance Officer / MLRO with compliance matters including AML/KYC due diligence, updates on regulations/regulatory issues on AML and KYC, compliance training, establish/update compliance policies and procedures, and advisory.Principal Duties:

• AML/KYC due diligence including quality assurance, quality controls, maintenance of PEP Register, Black and Sanction Lists
• Keep updated on developments on sanctions, embargoes and related KYC/AML laws and regulations
• Assist the MLRO in the reviewing and reporting of suspicious transactions and responding to Requests for Information and submissions
• Update on regulations/ regulatory issues on timely basis
• Establish/update compliance policies and procedures align with MUFG group standards
• Gather and collate key reporting information for Asia Chief Compliance Officer
• Update training materials, conduct training, update records, and monitor compliance
• Advice business/ support units on compliance matters/ issues as required.
• Maintain compliance databases and records
• Any other assignment as assigned by Asia Chief Compliance Officer
• To comply with all relevant regulations and applicable MUFG group policies

Generic Responsibilities:

• Comply with, and ensure all staff in the Department/on the Desk comply with, the Company’s policies and procedures as well as all rules and laws emanating from the Company’s direct Regulator or any other regulatory authority relevant to the business being conducted including, but not limited to, the MAS, the HK SFC, SEHK Regulations and FCA

Key Skills:

• At least 5+ years of relevant experience within financial crime compliance, ideally in multiple key APAC markets (Hong Kong, Singapore, Australia and Japan).
• A good understanding of the key regulatory risk drivers, and supervisory priorities for regulators across APAC.
• Competent in interpretation and execution of Hong Kong and International AML laws, regulations and requirements.
• Good understanding of the banking and securities industry and products
• A proven track record of independent working as a strong self-starter.
• Flawless English language ability as a mandatory requirement

We regret to inform that only shortlisted applicants will be notified.All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

Expected salary:

Location: Hong Kong

Job date: Fri, 17 Jan 2025 08:57:13 GMT

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