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MUFG · 1 day ago

VP, Compliance Control Room

DFW Metroplex

Full-time

Onsite

Senior Level

$116K/yr - $160K/yr

5+ years exp

MUFG is a global financial group that provides a wide range of financial services. The Compliance Control Room (CCR) is responsible for administering policies to prevent insider trading and manage transactional conflicts of interest, ensuring compliance with regulatory requirements.

Hiring Manager

Tracey Donaldson Kea

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. 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) process including review of TCOI submissions, escalation to U.S. 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

Qualification

ComplianceControl RoomFINRA Broker DealerFinancial markets knowledgeProject delivery experienceExcelAccessAnalytical skillsExperience in large organizationSeries 7 certificationOrganizational skillsCommunication skills