Assistant Vice President, Compliance Monitoring

Responsibilities

• Assist the Core Compliance Team Leader and Chief Compliance Officer by conducting periodic reviews to ensure business conduct, procedures, and processes adhere to the Bank's Compliance Standard Manual as well as all relevant external laws and regulations.
• Carry out detailed investigations and analysis related to Market Conduct Monitoring, including communication surveillance and trade surveillance activities.
• Handle customer complaints and feedback efficiently, investigating any incidents related to fraud or breaches of compliance protocols.
• Draft, maintain, review, and update compliance policies and procedures to ensure alignment with global and regional standards as well as all applicable regulatory requirements.
• Provide high-quality advisory services to various departments regarding compliance matters in relation to both internal standards and external legal obligations.
• Monitor potential conflicts such as personal account dealings or outside business interests, assessing risks and recommending appropriate actions.
• Develop recommendations for continuous improvement in compliance practices, supporting implementation efforts and taking corrective action when necessary to address violations of laws or internal procedures.
• Track open compliance issues diligently to ensure timely closure, preparing comprehensive reports for management, parent bank, and regional offices as required.
• Facilitate regional or local training assignments on compliance topics, ensuring completion reports are submitted accurately to relevant stakeholders.
• Distribute compliance materials and news updates while providing education and training sessions for employees across the organisation.
• What you bring:
• Possess a degree in Finance, Accounting, Business Administration, Economics, Law, or an equivalent discipline.
• Candidates holding Compliance Certification are highly preferred.
• A minimum of 6 to 8 years' experience working within banking compliance or a similar regulatory environment is essential for success in this role.
• Comprehensive understanding of banking industry trends along with deep knowledge of relevant laws and regulations governing financial institutions is expected.
• Demonstrated stakeholder management abilities are important for effective collaboration across multiple departments within the organisation.
• Excellent written and oral communication skills are needed when dealing with employees as well as external customers or clients.
• Preference will be given to candidates who are proficient in Japanese language due to frequent communication requirements with the Parent Bank.
• 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 fundame

Benefits

Additional Information

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. MUFG is seeking an Assistant Vice President, Compliance Monitoring to join their team in Kuala Lumpur. This pivotal role offers the chance to make a meaningful impact by ensuring that business operations align with both internal standards and external regulatory requirements. You will be part of a supportive team that values collaboration, knowledge sharing, and professional growth.

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