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Associate, Compliance - Jobs in Halifax, Nova Scotia

MUFG Investor Services
Job LocationHalifax, Nova Scotia
EducationNot Mentioned
SalaryNot Mentioned
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypeFull time

Job Description

Job DescriptionThe Compliance AML team is responsible for assisting the Chief Compliance Officer and the Money Laundering Reporting Officer in day to day Anti-Money Laundering, terrorist financing and proliferation financing and financial Sanctions related Tasks. This team also acts as advisors to the business in relation to AMLCFT/CPF related queries, and to develop policies, controls, procedures and training. The further responsibilities of the Associate would inlcude:

  • Assist with monitoring updates to laws, relevant regulatory changes and developments.
  • Assist with conducting gap analysis of changes to laws, regulatory changes and developments and report on the potential impact thereof to the Company’s licenses, business or services.
  • Assist with developing and amending compliance policies and procedures, in response to changing regulation and annual reviews.
  • Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to both AML and Regulatory matters.
  • Respond to business requests and queries, providing guidance as necessary, with respect to Anti-Money Launderingquot;AML quot; laws and regulations for jurisdictions where the Company is regulated.
  • Assists with preparation of training for staff on relevant procedures and policies within the relevant jurisdictions.
  • Work within the global Compliance Team to develop, implement, and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions to ensure appropriate controls are developed, monitored in all regulated jurisdictions and updated to reflect changing regulatory and industry requirements.
  • Assist with the preparation of management reporting and the periodic reporting to stakeholders including the Chief Compliance Officer (CCO) / Head of Compliance, the Compliance Committee, Board of Directors, Senior Management and the parent company.
  • Work with team to ensure sound oversight of outsourcing provisions, assist in the review of Risk Assessments / SLA’s and Oversight Reports on outsourcing arrangements,
  • Any other ad-hoc projects and duties as required

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