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MUFG · 1 hour ago

Compliance, Control Room - Vice President

Irving, TX

Full-time

Hybrid

Mid, Senior Level

$116K/yr - $160K/yr

5+ years exp

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups, dedicated to making a difference for their clients and communities. The Compliance, Control Room Vice President will be responsible for administering compliance policies and procedures to prevent insider trading and manage conflicts of interest, while developing relationships with stakeholders to ensure effective compliance programs are maintained.

Financial Services

Responsibilities

Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program

Provide consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information and Personal Trading)

Execute projects as assigned by supervisor and/or Compliance senior management

Assist in the maintenance of the Watch and Restricted Lists to prevent and detect insider trading by employees. These activities include the administration of requirements under applicable insider trading policies, centralized reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, and metrics and escalation reporting

Perform transactional conflicts of interest (TCOI) process including review of TCOI submissions, escalation to U.S. management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls and any required risk mitigation

Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matter; and respond to compliance related questions from management and staff

Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee accordingly. Provide information for compliance reporting to management and governance groups

Qualification

ComplianceControl Room experienceFINRA Broker Dealer experienceFinancial markets knowledgeProject delivery experienceExcelAccess proficiencyAnalytical skillsExperience in large organizationsAdvanced degree JDAdvanced degree MBASeries 7 certificationOrganizational skillsCommunication skills