Core Compliance Analyst

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

Purpose of the Role: Responsible for planning and implementation of effective Core Compliance policy, processes and procedures for MUFG branches in Taiwan (hereinafter referred as "Branch"). Identify, build and implement local Core Compliance policies, procedures and training programs that are aligned to and satisfy all regulatory requirements. Also, work in partnership with colleagues in Global and Regional Compliance Office to review local Core Compliance issues and actions required. 

Job Responsibilities:

Strategic

• Demonstrates personal responsibility and accountability to meet objectives, removes obstacles, and maintains a sense of urgency to complete tasks. 

• Demonstrates excellent judgment in determining whether to handle an issue independently or escalate it. 

• Shares lessons learned with others to help prevent mistakes from recurring. 

• Serves as a subject matter expert to help others gain a deeper understanding of policies and procedures. 

Customer  

• Develop and maintain strong stakeholder management with key stakeholders both within MUFG and externally. 

• Work in partnership with the stakeholders within the Branch to provide advice and guidance, including but not limited to Core Compliance policies, local and regulatory requirements, etc

• Provide stakeholders within the Branch with updates to any new or existing Core Compliance policies and ensure the Branch is aware of any impacts. 

• Work in partnership with the Global and Regional Compliance Office to ensure they are kept up to date on Core Compliance requirements and to ensure that the Branch is aware of any Core Compliance issues impacting the Branch. 

• Prepare meeting material for monthly compliance meeting in order to share information across the Branch. 

• Interact with regulatory authorities, lawyers and legal consultants and work with staffs from various departments on proposing appropriate practices and procedures within the guidance from the Compliance Officer to conform

People

• Encourages diverse perspectives and inclusiveness and leverages strengths to achieve results.

• Promotes harmonization across MUFG and considers the impact to the broader/global organization in decision-making.

• Listens well, respects different viewpoints, remains open to feedback, and adapts effectively to change.

• Embraces expanding their skillset; open to trying new approaches and feedback to learn and grow.

Other/Control

• In charge of communication surveillance program under senior staff & Compliance Officer's guidance.

• Assist Compliance Officer to implement compliance programs to comply with the laws & regulations as well as the Global and Regional Compliance Office policy and procedures, such as prepare various compliance reporting, arranging compliance committee meeting, conducting training etc.

• Monitor day to day compliance control matters impacting on the activities of the Bank, such as handling official letters, conduct routine monitoring and surveillance per MUFG standard, and Global and Regional Compliance Office instructions, prepare Core Compliance reports, etc.

• Report to the Global and Regional Compliance Office on the status of implementation of new compliance policies and procedures that are required due to any new or changes to existing regulatory requirements.

• Assist the Compliance Officer to report serious complaints, compliance breaches, fraud, conflicts of interests and insider trading and address irregularities and deficiencies noticed and pointed out in internal/external audits, local compliance monitoring & surveillance.

• Review and update compliance policies and procedures to ensure the Branch's alignment with all relevant regulatory requirements. 

• Actively guide and follow up with stakeholders within the Branch to ensure that any required changes have been implemented and policies and procedures created or updated.

• Develop recommendations for continuous improvement and support implementation.

• Maintain good working attitude and good working knowledge of industry trends, products, relevant laws and regulations.

Job Requirements:

• Minimum degree qualified. 

• At least 3 years of legal or compliance related working experience in financial industry. 

• Good command of explaination and guidance to related departments

• Strong stakeholder management sills to collaborate with other departments

We regret to inform that only shortlisted applicants will be notified.

Mitsubishi UFJ Financial Group (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.