Head of Compliance Operations
il y a 3 semaines
Are you ready to make a significant impact in the financial sector?
At Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial institution globally, we are dedicated to making a positive difference for our clients, communities, and stakeholders. With a workforce of 160,000 professionals worldwide, we prioritize our core values of integrity, long-term relationships, and sustainable growth.
Our mission is to become the most trusted financial group in the world, fostering a culture that values collaboration, innovation, and agility. We invest in our talent and technology to empower you to take charge of your career.
POSITION OVERVIEW
The Compliance Division Director for our Paris branch plays a pivotal role in ensuring adherence to ethical standards, legal regulations, and internal policies. This position involves close collaboration with the broader MUFG Compliance team to establish and monitor an effective compliance framework that aligns with both French and international regulations.
REPORTING STRUCTURE
The Compliance Director will report directly to the MUS(EU) Compliance Officer based in Amsterdam and the General Manager of the Paris branch.
This role requires a partnership with the Compliance teams at MUFG Securities EMEA plc in London, focusing on KYC processes, AML transaction monitoring, and regulatory compliance.
KEY RESPONSIBILITIES
Primary Duties
Your responsibilities will include, but are not limited to:
- Maintaining a robust Compliance framework tailored to the Branch's activities and associated risks, ensuring policies and procedures are in place to address Core Compliance and Financial Crimes risks.
- Providing expert guidance on local regulatory requirements and internal controls.
- Enhancing awareness and commitment to Compliance through training and support for staff.
- Monitoring compliance adherence and reporting findings to management.
- Conducting risk assessments and implementing necessary policies and controls.
- Addressing information requests from regulatory authorities.
- Preparing regulatory documentation, including annual reports to relevant authorities.
- Overseeing compliance with Anti-Money Laundering and Sanctions laws, including reporting suspicious activities.
- Collaborating with senior management to ensure compliance with applicable laws and regulations.
- Ensuring governance for outsourced Compliance services across the EMEA region.
COMPLIANCE & CONTROLS
You will ensure adherence to internal risk and compliance standards, including:
- Upholding the firm's values and ensuring client integrity is prioritized in all operations.
- Staying informed on market and regulatory developments and participating in relevant training.
- Ensuring compliance with all internal policies and external regulatory requirements.
- Managing staff performance and development in accordance with company policies.
EXPERIENCE & QUALIFICATIONS
- 7-10 years of experience in Compliance Advisory within a regulated environment.
- Strong interpersonal and communication skills.
- A proactive and motivated approach to work.
- Ability to prioritize tasks effectively and operate with urgency.
- Excellent decision-making and problem-solving capabilities.
- High attention to detail and accuracy.
- Proficiency in both French and English.
MUFG is committed to fostering diversity and inclusion, ensuring all employees are valued and respected. We uphold the principles of equality in recruitment and employment, opposing discrimination in any form.
We are dedicated to making recruitment decisions based on skills and qualifications, in line with our legal obligations.
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