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Junior Associate Director, Compliance - Jobs in Halifax region

MUFG Investor Services
Job LocationHalifax region
EducationNot Mentioned
SalaryNot Mentioned
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent

Job Description

Job Description

  • Responsible for monitoring updates to laws, relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
  • Conduct 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 statutory reporting requirements, within requisite timelines.
  • 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.
  • Conduct training to staff on relevant procedures and policies within the relevant jurisdictions.Assist in responses to Internal Audit and Operations with Regulatory and AML Compliance risk assessments / audits and management.
  • 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,
  • Testing of Regulatory and AML Compliance systems/ tools/platforms ensuring they are functioning as required and engage with vendors/stakeholders as required.
  • Any other ad-hoc projects and duties as required as assigned by Manager.

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