Global Financial Crimes Compliance Testing & Issues Management Operations, Associate

Union Bank, N.A. New York , NY 10007

Posted 2 weeks ago

Description:

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we're 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that's working to fulfill its vision to be the world's most trusted financial group.

Job Summary:

Responsible for supporting the Head of Operations for the Global Financial Crimes Testing and Issues Management teams in driving program development, planning, coordination, and reporting efforts globally.

Major Responsibilities:

  • Assist in development, coordination, production, and delivery of reporting packages detailing program or project status or operational activities for senior management, committees, and other oversight bodies, as necessary

  • Assist in program development activities, including the management of plan execution and delivery of status reporting on the activities of the Global Financial Crimes Testing and Issues Management programs

  • Assist in ensuring effective governance as well as open and regular communications between global and regional teams. Participate in agenda development process

  • Assist in annual strategic planning and the subsequent management of program enhancement plans in addition to oversight of the planning, execution and management of team offsite meetings and working sessions

  • Assist in ongoing monitoring and reporting of the team budgets & key sub-budgets

  • Assist in managing, navigating and executing business as usual operational activity, including coordinating/resolving inter and intra departmental requests

Qualifications:

  • At least 3 years of experience within a global bank, consulting firm or regulatory agency

  • Experience in program management activities, such as planning, status reporting, and budgeting

  • Project management and coordination experience

  • Knowledge of financial crimes compliance laws and regulations.

  • Excellent judgment and analytical skills

  • Strong written and verbal communication skills

  • Ability to deliver high-quality work products in a timely manner.

  • BA/BS Degree required; JD,CPA, and/or CAMS a plus

  • Some travel may be required, domestic and international

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.


icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Financial Crimes Compliance Manager Director Global Compliance Alternative Investments

Blackrock, Inc.

Posted 2 days ago

VIEW JOBS 3/22/2019 12:00:00 AM 2019-06-20T00:00 Description About BlackRock BlackRock helps investors build better financial futures. As a fiduciary to our clients, we provide the investment and technology solutions they need when planning for their most important goals. As of December 31, 2018, the firm managed approximately $5.98 trillion in assets on behalf of investors worldwide. For additional information on BlackRock, please visit www.blackrock.com | Twitter: @blackrock | Blog: www.blackrockblog.com | LinkedIn: www.linkedin.com/company/blackrock. Job Description: BlackRock's Global Compliance Department protects BlackRock's reputation and provides advice to the business focused on ensuring the protection of our client's best interests. The department is a dynamic environment with the team focused on understanding evolving business strategy, challenging and advising on the impact of regulation in our business, with the objective of: * Actively participating in business decisions to champion our clients' interests and assist the business in translating Compliance into their daily work and decision making; * Putting client interests at the center of everything we do; * Cultivating and enhancing BlackRock's compliance culture; * Providing thought leadership on the impact and implementation of regulation to our business and to the market; and * Developing and fostering excellence within the Compliance team. Job Purpose: The firm is seeking an individual to join the Global Financial Crime Compliance Team based in New York, responsible for helping to build out and lead the global compliance program for BlackRock's Alternative businesses. The successful candidate will need to demonstrate extensive knowledge of, and experience in, asset management, alternative products, compliance and financial crime risk management. The role is based in New York and would report to the Americas Head of Financial Crime. Key Responsibilities: * Enhance and manage the global compliance framework in relation to managing the Financial Crime risk of BlackRock's Alternatives business (e.g., Private Equity, Hedge Fund of Funds, Real Estate, Infrastructure, etc.) including leveraging technology and improving processes where appropriate * Manage and continuously enhance compliance policies and procedures related to Alternatives Financial Crime compliance on a global level (multiple jurisdictions) * Partner with counterparts in Legal, and Compliance, to provide clear technical advice, guidance and training on Financial Crime risk to senior stakeholders across the business * Partner with key stakeholders including Business, Operations, Risk Management, Legal and Compliance to implement systems, controls and processes, including investor KYC and onboarding as well as due diligence on transactions and associated parties in the Alternatives business (e.g., Private Equity, Hedge Fund of Funds, Real Estate, Infrastructure, etc.) * Establish a monitoring program to ensure continuous review and monitoring of the financial crime risks associated with Alts transactions and associated parties * Partner with Legal to assist in Fund oversight and compliance with AML requirements in offshore jurisdictions * Act as the escalation point of contact for complex transactions * Manage a team responsible for conducting Financial Crime oversight, including due diligence and/or investigations, on the risk posed by alternative private transactions * Ensure the active identification, response and/or escalation of risks as appropriate * Develop key metrics to measure the success of the compliance program * Form strong relationships with key individuals within the business globally * Work within a global team and communicate effectively to members of that team Development Value: * There is some capacity for the individual to shape the role according to the enhancement needs of the compliance framework supporting a dynamic and growing global business. The individual will gain an appreciation of BlackRock's expanding Alternatives businesses and associated risks across the globe. This role will have significant interaction with senior Business, Compliance and Legal stakeholders. Knowledge/Experience: * The successful candidate should be genuinely experienced in managing or executing Alternatives compliance programs for financial institutions, preferably through having worked for an investment, asset management or private equity firm. 10 + years of experience in this field is expected. * The successful candidate should have strong understanding of the alternative business space (e.g., Private Equity, Hedge Fund of Funds, Real Estate, Infrastructure, etc.) * Strong working knowledge of at least one of the following financial crime areas of AML, Sanctions, Fraud and Anti-Bribery and Corruption is a plus * Prior investigative due diligence experience is a plus * Experience with Fund formation and the delivery of Financial Crime compliance advice * Proven ability to enhance and manage a compliance program, including directing staff across multiple locations. * Have a proactive approach to business issues, identifying areas of improvement and enhancement including the automation of processes * A strong understanding of key controls and policies to mitigate Financial Crime risk associated with the Alternatives space * Excellent communication, judgment and business partnership skills are expected. BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law. BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law. Blackrock, Inc. New York NY

Global Financial Crimes Compliance Testing & Issues Management Operations, Associate

Union Bank, N.A.