Vice President, Advisory Compliance

Job title: Vice President, Advisory Compliance

Company: MUFG Investor Services


Job description: 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.About the role:The purpose of the Vice President role is to assist in the development and implementation of a best in class Regulatory, Advisory & Oversight Compliance function within the Oceania Compliance team. You’ll participate in the development and implementation of effective compliance processes and procedures for MUFG in Oceania and will ensure the timely reporting of all Compliance matters in accordance with Head Office and Regional Compliance Office (ACO) requirements.What you’ll be doing:Review compliance procedures, policies and other related documents against bank rules, regulations and other legal requirements.Make recommendations and draft necessary amendments and enhancements to compliance policies and procedures to satisfy Oceania regulatory requirements, and assist with implementation of policies and procedures.Provide comprehensive analysis and guidance to the business, to enable compliance with existing and changing regulatory obligations.Provide advice and promote awareness of compliance risk and regulatory issues with relevant stakeholders.Oversee and manage the Australian Competition Law program, especially in relation to the Australian JV agreement with MS in Oceania.Provide advice and promote awareness of compliance risk and regulatory issues with relevant stakeholders.Oversight and management of the Oceania Regulatory Change Management (RCM) Operating Standard and RCM Database, relating to applicable new and revised regulation and legislation.Lead compliance investigations and assist in building out Oceania’s internal investigation framework/program.Support the Chief Compliance Officer, Oceania and be an engaged and active member of the Oceania Compliance team.Review marketing, promotional and communication materials to ensure compliance with Bank rules, regulations and legal requirements.Provide comprehensive analysis and guidance to the business, to enable compliance with existing and changing regulatory obligations.Establish strong relationships with key stakeholders.Liaise with ACO and ORR regarding any further development to CoE and engage with local business stakeholders.Assist the Core Compliance Lead to manage, supervise and develop Compliance Advisory resources.Lead and drive projects and initiatives and take on additional responsibility as assigned by the Chief Compliance Officer, Oceania from time to time.What we are looking for:5+ years compliance, legal or conflict of interest experience in banking or financial servicesGeneral knowledge or capacity to acquire knowledge of regulatory environment for financial services in Australia and New ZealandStrong oral and written communication skillsAttention to detail and excellent organisational skillsAbility to manage competing deadlines and work unsupervised and independentlyWillingness and ability to learnBachelor of Commerce/Laws is preferred.Our culture:MUFG fosters a highly professional, supportive work environment that enables our employees to help maximize our customers’ prosperity. We focus on building long-term customer relationships and giving back to our communities in order to develop shared and sustainable growth for a better world.Mitsubishi UFJ Financial Group (MUFG) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.

Expected salary:

Location: Sydney, NSW

Job date: Wed, 14 May 2025 07:56:25 GMT

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