Assistant Vice President, Compliance

6 months ago

Kuala Lumpur, Malaysia MUFG Bank (Malaysia) Berhad Full time

**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.

**Responsibilities**:

- Conduct periodic compliance checking (Core Compliance and Financial Crime Compliance) to ensure the business conduct, procedures and processes of the business and operations meet the standards of external laws & regulations, the Bank’s Compliance Standard Manual and report the observations to the relevant compliance offices.
- Carry out Market Conduct Monitoring including Communication and Trade Surveillance.
- Responsible to handle of Customer complaint and feedback, any fraud related incident
- Facilitating and monitoring of Regional/Local training assignment, and subsequently submission of completion report to local management, Regional Office and Parent Bank.
- Distribution of compliance materials/News with provision of education and training to relevant employees.
- Collection and maintaining the laws & regulations in relation to MUFG Businesses. Conduct gap analysis and taking appropriate actions in ensuring compliance.
- Establish and maintain the policies & procedures in relation to compliance with the Parent Bank & external regulatory requirements.
- Provide advisory services to the Source Department on Compliance related matters in relation to parent bank’s requirements and external laws & regulations.
- Monitor and check for potential conflict such as personal account dealing, outside business interest.
- Monitoring and tracking of open issues to ensure proper timely closure of compliance issues.
- Conduct validation of corrective action plan and updating status of Open Issue Management report in MUFG’s systems.
- Strictly observe the deadline on the preparation of various compliance reports to Management, Parent Bank and Regional Office.
- Attend to any ad-hoc or new assignments which may be delegated from time to time by the immediate Supervisor, CCO and Management.

**Requirements**:

- Applicant must have a recognized Degree in Economics, Finance/Accountancy/Banking or its equivalent from a recognized university/higher learning institution.
- Preferably with minimum 4-5 years of relevant working experience especially in banking regulatory requirement, Financial Crime Knowledge, Internal Audit role.
- Able to work independently with minimum supervision.
- Possess strong knowledge in banking regulatory requirements and industry best-practices.
- A good team player who is meticulous, able to multi-task and detail oriented.
- Possess good written and oral communication skills in dealing with internal employees or external customers/client.
- Strong PC skills particularly in MS Excel, MS Excel and MS PowerPoint.

MUFG Bank Ltd & MUFG Securities Asia Limited (collectively referred to as “MUFG”) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.

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