Vice President, Compliance Control Room

1 day ago

Singapore MUFG BANK, LTD. SINGAPORE BRANCH Full time

The 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 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 shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and actions are taken to mitigate compliance risk.
- Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
- Provide Subject Matter Expert (“SME”) consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non Public Information and Secondary Loan Sale conflict clearance).
- Execute projects as assigned by supervisor and/or Compliance senior management.
- Manage controls 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”) processes including review of TCOI submissions, escalations to APAC Management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls and any required risk mitigation.
- 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.
- Manage the execution of assignments and provide guidance to junior members of CCR (whenever required).
- 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).

**Job Requirements**:

- Minimum of 7 years of Conflicts Advisory and/or Control Room experience
- Excellent presentation and internal stakeholder engagement skills
- Ability to identify transactional conflicts of interest
- Bachelor’s degree
- Ability to think strategically and make risk-based decisions
- Strong knowledge of financial markets and products
- Demonstrates a high level of integrity
- Excellent communications skills (verbal and written)
- Outstanding analytical and organizational skills
- Experience leading and delivering on projects
- Experience working in a large international organization preferred
- We regret to inform that only shortlisted applicants will be notified._

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