This position is responsible for supporting surveillance and monitoring in the Compliance Group. Manage and execute various Enterprise-Wide programs including: Record Information Management (RIM), Business Manager (BM), Third Party Risk Management (TPRM), Key Risk Indicator (KRI), Product and Services Risk Assessment (PSRA), Risk Control-Self Assessment (RCSA) testing, and Compliance Risk Assessment (CRA).
Support surveillance and monitor activities of compliance program including enhancing policies, standards, procedures, parameters and threshold settings. Perform Compliance Surveillance activities for Bloomberg, FX Connect, Standard Control, and Voice Recording.
Assist in preparing and assembling MSII closure packages, and support issue remediation tasks.
• Execute Compliance Assessments
Perform Risk Control Self-Assessment testing (RCSA). Complete Core Compliance Risk Assessment related activities.
• Manage Compliance Governance & Reporting
Manage and assemble data for Branch & CUSO Reporting (including surveillance metrics reporting). Prepare Committee presentation materials.
• Based on changes in the business work environment, job responsibilities can change, and additional functions and tasks may be added or removed accordingly. Additionally, this position will perform other duties as required, and participate in special projects as deemed necessary and appropriate by Management.
Skills & Requirements
Experience: 6-8 years of relevant work experience.
• Experience in Surveillance System (NASDAQ SMARTS).
• Strong communication skills both verbal and writing, with attention to detail.
• Ability to multi-task and a fast learner.
• Proficient in Microsoft Excel, Microsoft Word, and other Office products.
• Must be versatile, able to work effectively, independently, and as part of a team.
• Strong organizational and time management skills.
• Good interpersonal skill to work effectively with counterparts and all levels of stakeholders.
• Detailed oriented, possess a high level of attention to detail and quality of work product.
The typical base pay range for this role is between $116K - $130K depending on job-related knowledge, skills, experience and location. Additionally, our Employee Benefit 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, 401(k) retirement and savings plan, educational assistance and training programs, paid maternity and parental bonding leave, and paid vacation, sick leave, and holidays.
Mitsubishi UFJ Trust and Banking Corporation New York Branch (MUTB-NY) is an Equal Employment Opportunity Employer.
If you are interested in applying, please provide your resume to: careers.mutb@ny.tr.mufg.jp
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