MUFG · 1 day ago
Fixed Income Compliance Advisor, Vice President
New York, NY
Full-time
Hybrid
Mid, Senior Level
$126K/yr - $173K/yr
5+ years expMitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups, striving to make a difference for every client and community served. The selected colleague will assess regulatory/compliance controls, analyze proposed rules, and assist in preparing Compliance reports, while also drafting policies and conducting training.
Financial Services
Responsibilities
Assess regulatory/compliance controls related to areas of coverage. This would include providing clear and understandable advice and guidance to interested parties and drafting and delivering Compliance training on these topics
Analyze proposed and new rules in addition to market and internal developments and provide advice and guidance on the potential impact to current activities, and working to implement the necessary controls. Additionally, play an advocacy role representing the Firm in industry efforts as they pertain to regulatory developments
Assist in the preparation of Compliance reports for Compliance Management, Senior Management, Executive Committees, and Risk Committees etc. as required
Drafting and updating Compliance policies and procedures
Assist with the drafting and delivery of Compliance trainings e.g. Annual Compliance Training as well as ad hoc trainings
Participating in internal investigations, assisting in responding to regulatory inquiries, and coordinating internal and external audits and inspections
Performing periodic risk assessments of the business
Providing regulatory/compliance training as needed
Qualification
Required
5-7 years of compliance with a focus on advisory and policy development
5+ years of Fixed Income Compliance experience
Strong knowledge of FINRA, SEC, NFA and CFTC rules and regulations
Strong verbal, written and organizational skills
Benefits
Comprehensive health and wellness benefits
Retirement plans
Educational assistance and training programs
Income replacement for qualified employees with disabilities
Paid maternity and parental bonding leave
Paid vacation
Sick days
Holidays
Company
MUFG
MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Greidy Puig
Vice President Finance- Business Unit CFO
Mark Fernandez
Vice President, Global Markets CFO Office
Recent News
2024-04-29
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