Compliance Control Room, Assistant Vice President

MUFG (DBA) • Irving, TX

73d • $85,000 - $115,000

About The Position

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.

Requirements

• Bachelor's degree
• 3 - 5 years of Compliance and Control Room experience
• Strong knowledge of financial markets, investment banking, capital markets and products
• Outstanding analytical and organizational skills
• Experience delivering on projects
• Excellent communications skills (verbal and written)
• Experience with Excel or Access

Nice To Haves

• FINRA Broker Dealer experience a plus
• Experience working in a large international organization preferred
• Series 7 a plus

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.
• Perform transactional conflicts of interest (TCOI) process including review of TCOI submissions, escalation to U.S. management and Home Office, as necessary.
• Participate in the drafting of compliance related policies and procedures.
• Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions.

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, and holidays

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree