Mitsubishi UFJ Financial Group

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

This is a hybrid position. The selected colleague will work at an MUFG office or client sites up to four days per week and work remotely the remaining day(s). A member of our Talent Acquisition team will provide more details.

The Compliance Officer will be a member of the Global Corporate & Investment Banking Compliance team with the objective of providing compliance support, guidance, and oversight to MUFG Bank’s Global Corporate & Investment Banking (“GCIB”) business unit.

Roles and Responsibilities:

The Compliance Officer will assist in the management of a robust compliance risk management program, covering GCIB activities, that fosters a strong culture of compliance. Primary responsibilities include the following:

• Regulation identification, analysis, and change management; policies, procedures, and training development and deployment; business unit, product/service, third-party, or new business initiative risk assessments; monitoring; reporting; and regulator relationship management.
• Compliance risk mitigation, including compliance controls design and implementation.
• Timely closure of GCIB and Compliance open issues (related to core compliance topics). 
• Lead miscellaneous and related assigned projects, such as leading aspects of Marketing Compliance and Cross-Border Activities Compliance, and supporting GCIB Corporate Priority Initiatives

The right candidate will have:

• 6+ years in investment advisory compliance experience
• Proficiency in current regulations and compliance requirements pertaining to the Investment Advisers Act of 1940
• Good analytical skills, including knowledge of investment instruments and portfolio compliance methods and systems
• Highly organized and able to multi-task
• Bachelor's degree is preferred, with 5 years of business experience and/or shown success in a related field.

The typical base pay range for this role is between $120k-$150k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law. 

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