Assistant Vice President

This role is within the Asia Compliance Control Room (CCR) which forms part of the Regional Advisory and Control Room Department in the Compliance Office for Asia (ACO). The role reports to the Regional Head of the Control Room and works with the Asia CCR Team as well as the Global CCR Team which consist of 3 independent CCRs located at MUFG Bank: London, NYC, and Tokyo. The CCR administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The position will be responsible for managing personal and transactional conflicts of interests and implementing information controls.

**Strategic**
- Advising the businesses and countries supported by the Asia CCR team on CCR SME topics: Personal Account Dealing (PAD) and Outside Business Interests (OBI)
- Handle approval process for PAD / OBI and maintenance of staff PAD / /OBI declaration records
- Information controls-related activities, such as insider registers management
- Cooperating with other ACO stakeholders, such as Advisory, Policy and Central Compliance teams, as well as delivering training, regional MI and risk assessments related to CCR SME topics
- Maintain central records within the Compliance Control Room (e.g., Deal Register, Conflicts of Interest Database, Watchlist, Outside Business Interest etc.).
- Supporting general compliance activities and other duties, including special projects as assigned. In particular, to help the Team implement the International Compliance Control Room Enhancement Programme
- To assist in the preparation of monthly Management Information and other Compliance reports to the stakeholders
- To support and / or play a significant role in compliance initiatives / ACO projects
- Other responsibilities relating to the function and management of ACO as instructed by ACO Management or HOD / Regional Head of Control Room

**Customer**
- Cooperate with other ACO stakeholders, such as Advisory, Policy and Central Compliance teams, as well as delivering training, regional MI and risk assessments related to CCR SME topics.
- Liaise with relevant divisions/units for development and enhancement of internal Compliance Control Room systems (e.g., the Global Compliance Control Room System, Regional Compliance System, etc.)
- Provide close support to regional branches/units’ compliance in all CCR-related matters
- Support the ACO Training Team in the development, coordination, and delivery of initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-Public Information, and Personal Trading).
- Manage the execution of assignments and provide guidance to junior members of CCR (whenever required).

**Other/ Control**
- Execute projects as assigned by supervisor and/or Compliance senior management.

**Job Requirements**:

- Minmum degree qualified
- Minimum 2 years of working experience under a Compliance Function within a Financial Institution
- Minimum 2 years of experience on Second Line of Defense
- Good presentation and internal stakeholder engagement skills
- Ability to collaborate with the team to deliver projects on time
- Shows a high level of integrity and moral principles
- Good written and verbal communication skills
- Passion to lead change and drive towards achieving goals
- We regret to inform that only shortlisted applicants will be notified.- Job ID: 10061726_