MUFG Union Bank Vice President, Compliance Control Room in Singapore
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The role is within the Asia Compliance Control Room (“CCR”) which forms part of the Regional Advisory and Control Room Department in the Compliance Office for Asia (“ACO”). The role reports to the Regional Head of Control Room and works with the Asia CCR Team as well as the Global CCR Team which consist of 3 independent CCRs located at MUFG Bank: London, NYC and Tokyo. The CCR administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and actions are taken to mitigate compliance risk.
Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
Provide Subject Matter Expert (“SME”) consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non Public Information and Secondary Loan Sale conflict clearance).
Execute projects as assigned by supervisor and/or Compliance senior management.
Manage controls 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”) processes including review of TCOI submissions, escalations to APAC 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.
Manage the execution of assignments and provide guidance to junior members of CCR (whenever required).
Support the ACO Training Team in the development, coordination and delivery of initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-Public Information, and Personal Trading).
Minimum of 7 years of Conflicts Advisory and/or Control Room experience
Excellent presentation and internal stakeholder engagement skills
Ability to identify transactional conflicts of interest
Ability to think strategically and make risk-based decisions
Strong knowledge of financial markets and products
Demonstrates a high level of integrity
Excellent communications skills (verbal and written)
Outstanding analytical and organizational skills
Experience leading and delivering on projects
Experience working in a large international organization preferred
We regret to inform that only shortlisted applicants will be notified.
MUFG Bank Ltd & MUFG Securities Asia Limited (collectively referred to as “MUFG”) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
Our Culture Principles
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