Manager, Compliance
19d ago

Core Responsibilities

  • Provide support to the Head of Compliance ( HOD ) and Chief Compliance Officer ( CCO ) in respect of managing compliance risk within the group
  • Maintain relationships with regulatory bodies, where required, such as the Central Bank of Ireland, and be in a position to represent MUFG with respect to regulatory dealings;
  • Keep abreast of all relevant regulatory developments, research the regulatory requirements and report on the impact thereof on the Company’s licenses, business or services;
  • Ensure provision of prompt and accurate advice to the business on compliance and regulatory matters
  • Study new and emerging international regulations and identify their application. Work with effected group and / or product development team and recommend processes, policies and procedures to ensure new requirements are incorporated into day to day processes;
  • Keep senior management informed of any changes to the regulatory landscape and the potential impacts on the business and develop appropriate procedures and policies and identify initiatives to strengthen the control environment to ensure the business remains compliant;
  • Communicate, interpret and implement all compliance policies & procedures and ensure they meet regulatory and group requirements;
  • Assist Internal Audit and Operations with compliance risk assessment and management;
  • Work with the global Compliance Team to develop, implement, and monitor Compliance Monitoring Plan ( 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.
  • Where necessary add controls to monitor non-regulated jurisdictions for compliance with Group policies and procedures;
  • Prepare regular, ad-hoc or special reports for the Group Compliance and Risk Committee ( CRC ), Senior Management, relevant Company Boards, Regulators, Fund MLROs and Clients where required.
  • Attend and present at any of the aforementioned meetings where required;
  • Ensure there is a clear compliance culture adopted and upheld by the business;
  • Ensure that the requirements of all relevant legislation are complied with; including AML / CFT and Data Protection amongst others;
  • Identify and lead initiatives to strengthen the control environment;
  • Ensure all staff are advised of and kept up to date with compliance policies. This includes the coordination, roll out and full participation in compliance initiatives such as training where applicable;
  • Assist in outsourcing related matters and ensuring compliance with the relevant regulatory requirements;
  • Escalation of any major issues in the above areas to the CCO;
  • Any other ad hoc duties, as required.
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