Director, Compliance
Il y a 6 mois
Do you want your voice heard and your actions to count?
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 160,000 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.
MAIN PURPOSE OF THE ROLE `
MUFG Securities Europe N.V. is the European Union investment banking entity of MUFG, and operates in close partnership with its direct parent MUFG Securities EMEA, the UK investment banking subsidiary of MUFG and MUFG Bank to provide financial intermediation between corporate and institutional clients and the market. MUFG Securities Europe N.V. is active throughout the European capital markets, focusing on debt, equity, derivatives and structured products. The Paris branch primarily acts as a sales and introduction function.
The Compliance Division Director of its Paris branch:
Supports and monitors the business in their compliance with ethical standards, laws, regulations, internal policies and procedures. Supports management and the wider MUFG Compliance department in establishing a compliance framework and in monitoring its efficiency and effectiveness and adherence to French and other applicable regulations.ROLES, SCOPE and REPORTING STRUCTURE
Paris branch Compliance Director reports into the MUS(EU) Compliance Officer based in Amsterdam, and to the Paris branch General Manager.
The Compliance division Director works in close partnership with the Compliance teams of MUFG Securities EMEA plc in London who provide services for KYC processes, AML transaction monitoring, control room activities, conflict clearance, trade monitoring and communications surveillance.
She/He also works collaboratively with MUFG Bank, Paris branch Compliance department.
KEY RESPONSIBILITIES
Principal Duties
You will be responsible for the following specific duties, including inter alia:
Ensuring that an appropriate Compliance framework is maintained in the Branch, considering the Branch’s activities and risks, including adequate policies, procedures and monitoring in respect of Core Compliance and Financial Crimes risks to support compliance with relevant laws regulations and ethical standards. Providing on-the ground advice and guidance on (French) regulatory requirements, policies, procedures and controls. Promoting awareness, understanding and commitment to Compliance and provide training to staff. Monitoring and reporting on the adherence to the Compliance framework Supporting with the performance of risk assessments, the implementation of policies, procedures and controls Dealing with (ad hoc) information requests from regulators / authorities Preparing of regulatory reports,such as the annual AML and Activity Report to the ACPR and AMF. Carrying out the duties required for the oversight of MUFG Securities Europe N.V.’s (location Paris) compliance with the relevant Anti Money Laundering and Sanctions Laws and Regulations, including the reporting of suspicious transactions to the FIU France. Collaborating with the Head of Compliance in order to ensure compliance with relevant laws, regulations and design and implement the internal policies & procedures, including:Co-ordination of the implementation and maintenance of appropriate systems and controls across MUS(EU) designed to promote compliance with the applicable laws and regulations, including rules and guidance of the regulators, exchanges and markets in which it conducts business, and with the relevant regulatory conduct regimes of the countries in which MUFG Securities Europe N.V.carries on services and activitiesProviding on-the-ground advice to the branch’ staff relating to local compliance issues, however, directing transactional or product-related queries to the relevant EMEA Compliance TeamProviding reports, monitoring services and training to Senior Management and staff in all business areas on non-financial regulatory conduct issuesActing as a principal point of contact with regulators providing them with notifications and information that may be required from time to time co-ordinate and oversee the firm's compliance with, and policies and procedures for the effective management of, inside and confidential informationReceive reports of risk-based monitoring of trading activity to ensure that it has been conducted in accordance with acceptable market practices and regulatory requirementsProviding oversight of the firm’s compliance with the rules on systems and controls against money laundering, bribery & corruption and other financial crime Monitoring regulatory change to enable forward looking control initiatives to be aligned to external requirementsEnsure appropriate governance is in place in relation with outsourced Compliance services across EMEA.
Controls & Compliance
You will ensure compliance with the firm’s internal risk and compliance requirements, controls and procedures including but not limited to:
• You shall conduct yourself at all times in a way which is commensurate with the firm’s values and ensure that the needs of the firm’s clients and the integrity of the market are placed at the heart of the carrying out of your duties and ensure all staff under your responsibility are conducting themselves as industry professionals and in accordance with policy guidelines.Take reasonable measures to remain aware of key market and regulatory developments and, where necessary, attend training in this regard.
Comply with, ensure that all staff under your responsibility (where applicable) comply with, the firm’s policies and procedures as well as all rules, laws and regulatory requirements emanating from any of the regulatory authorities to which the firm is subject;
• Carry out management responsibilities (where applicable) in accordance with the firm’s policies and procedures ensuring that all staff are fully trained and understand what is required of them in order to do their jobs effectively. This includes, but is not necessarily limited to, the following: setting objectives/personal development plans for, and performing performance appraisals of, staff at least twice a year, handling appropriately any grievance or disciplinary issues, liaising with the Human Resources Department where appropriate.
EXPERIENCE & PERSONAL REQUIREMENTS
7-10X years of experience in Compliance Advisory, preferably in a regulated entity Excellent interpersonal and communication skills A proactive, motivated approach The ability to operate with urgency and prioritize work accordingly Strong decision making skills, the ability to demonstrate sound judgement Strong problem solving skills Excellent attention to detail and accuracy Proficient in both French and EnglishWe are open to considering flexible working requests in line with organisational requirements.
MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.
We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.
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