Compliance

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*** This is a 6-month contract position ***

This position is responsible for managing local, regional and global compliance reporting. The position is also responsible for regulatory compliance management as well as managing compliance risks, including privacy risk, associated with organization's external counterparts, its activities and processes.

Key Responsibilities:

Compliance Reporting

• Managing all reporting requests from local, regional and global stakeholders applicable for Compliance
• Preparing reports which includes gathering information, analyze data from system, presenting the information into the required format and submitting the reports by their due date
• Preparing user friendly reporting templates to enable users to maintain data on a recurring basis

Issues Management

• Managing Compliance related issues, which includes coordinating with stakeholders on issue status and ensuring timely closure
• Administrating issue management system, updating issue records, creating and closing the issues in the system
• Preparing reports and providing status updates on existing issues

Managing Branch-wide Training

• Assigning target audience for Core Compliance and Financial Crimes trainings
• Analyzing overdue status and ensuring all assigned trainings are completed within their time frame
• Preparing training completion reports
• Administering training related issues, such as, issues faced by employees in accessing their profiles, ensuring all applicable employees are receiving their trainings, managing training exemptions in order to meet regulatory and bank wide training requirement

Regulatory Compliance Management - RCM (Resolver)

• Administering RCM system, Resolver, adding new users to the system, providing appropriate access and communicating Resolver notifications to appropriate users, such as, filer, attester, etc.
• Accessing reports to verify the attestation status to ensure all attestation are completed by their due date, following up with users whose attestations remain overdue
• Performing attestation for Core Compliance related activities and regulatory requirements

Managing Compliance Committee Presentation and Report

• Providing statistical data for Compliance Committee presentation and CCO reports
• Communicating with stakeholders to analyze the information provided and its reasons thereof

Management of Privacy Risk

• Performing privacy impact assessments for third parties and external counterparts
• Analyzing different aspects of privacy risk in an engagement and determining controls to mitigate those risks
• Staying up to date with privacy related laws and regulatory requirements to ensure regulatory compliance at all times

Risk Assessments, Review, Monitoring and Testing

• Performing risk assessments for Compliance related activities
• Preparing and updating working papers for the business to assist them perform their self-assessment
• Monitoring and testing business activities, as determined to be in scope, compile results and prepare summary of testing to identify issues and potential risks
• Managing Compliance plan and complete all related and in scope testing by the due date
• Reviewing third party risk assessments for potential inherent risks present in third party engagements, determine controls and ensure controls are operating effectively to reduce the risk to an acceptable level
• Coordinating with Regulators, Audit and testing teams and respond to their queries, requests for information and provide evidences to support their inspection, audit, etc.

FATCA and CRS Reporting

• Preparing a listing of all reportable accounts based on the regulatory criteria and the information collected for the customers
• Performing reconciliation of new and existing clients to ensure complete documentation are maintained by the business for all customers,
• Preparing reports of FATCA and CRS reportable accounts for submission to Accounting in order for them to submit the report to the Regulator

Procedural Development and Update

• Developing new policy / procedure documents as required and deemed necessary to formalize and document activities
• Updating procedures by their review date and make necessary amendments to align the documents with the current business and regulatory environment
• Keeping up to date with all effective policies, procedures and standards to ensure compliance with Organization's requirements at all times

Laws and Regulations

• Staying up to date with all regulatory requirements applicable to Organization to maintain effective culture of Compliance

Provide support on other compliance activities as applicable including,

• Quality Assurance and compliance monitoring processes and activities
• Vendor risk management
• Risk related to Code of Conduct/Conflict of Interest and managing materially non-public information

Qualifications:

• Strong computer skills, including proficiency in MS Office products, such as, Word, PowerPoint, Visio
• High level proficiency in Excel; Excellent communication and presentation skills with ability to interact effectively with others across the organization, including Senior Management; Strong analytical, logical reasoning and problem solving skills
• High level skills in managing and analyzing data and be able to extract valuable information from raw data.
• Manage projects, set priorities and work under pressure with tight deadlines
• Ability to read, interpret and understand laws and regulations
• Ability to work in a fast-paced environment and embrace new technologies and systems.
• Completion of a Bachelor degree, Chartered Accountancy designation (CPA / ACCA / CA) or equivalent in the field of Business Administration, Financial Management, Accounting or Legal.

The job description and related application pertains to an opportunity with either MUFG Bank, Ltd., Canada Branch (“MUFG Bank Canada”) or MUFG Securities (Canada), Ltd. (“MUFG Securities Canada”). The job description relates to the general nature, scope, quantity and quality of work contemplated for the position. Other duties and responsibilities not specifically described may be assigned from time to time, consistent with knowledge, skills and abilities of the incumbent. The receipt of an application by either MUFG Bank Canada or MUFG Securities Canada, as applicable, does not imply or guarantee employment.Each of MUFG Bank Canada and MUFG Securities Canada is an equal opportunity employer.• As a federally regulated entity, MUFG Bank Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Canadian Human Rights Act and the Canada Labour Code. Where MUFG Bank Canada obtains information relating to protected grounds under the Canadian Human Rights Act as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Bank Canada does not use such information for decision making purposes relating to the position contemplated in this application.• As a provincially regulated entity, MUFG Securities Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Human Rights Code (Ontario) and the Employment Standards Act (Ontario). Where MUFG Securities Canada obtains information relating to protected grounds under the Human Rights Code (Ontario) as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Securities Canada does not use such information for decision making purposes relating to the position contemplated in this application.