YOUR TRUST, YOUR FUTURE, OUR COMMITMENT   These are the cornerstones of Mitsubishi UFJ Financial Group's (MUFG) vision of becoming one of the world's leading financial groups by serving our clients with pride, integrity and dedication. Today, MUFG and its banking entity, MUFG Bank, Ltd.,...

 

YOUR TRUST, YOUR FUTURE, OUR COMMITMENT

 

These are the cornerstones of Mitsubishi UFJ Financial Group's (MUFG) vision of becoming one of the world's leading financial groups by serving our clients with pride, integrity and dedication. Today, MUFG and its banking entity, MUFG Bank, Ltd., leverage a global network spanning more than 50 markets and experience accumulated over 360 years to cultivate long-lasting relationships with clients, nurture our people into the leaders of tomorrow, and make a difference in the communities where we operate.

 

MUFG BANK IN HONG KONG

 

(Incorporated in Japan with limited liability)

 

MUFG has had a long-standing presence in Hong Kong for over 65 years. Today, MUFG is served by our commercial banking, trust bank as well as its securities arm. Our strategic partner, Morgan Stanley is also based in Hong Kong.

 

Associate/ VP - Planning & Administration Department - Asia Investment Banking Division

Job level Middle
Education Not applicable
Location
Central
Employment type Full Time
Benefits Dental plan, 5-day week, Insurance plan, Medical plan, Performance bonus
Industry Financial Services / Investment / Securities
Job function Legal / Professional Services > Legal & Compliance
Published On 19/10/2019

This position is to conduct daily compliance activities for AIBD HK and perform regular compliance checks to enhance the internal controls and ensure the conformity with the relevant laws, rules and regulations.

 

Key Responsibilities:

 

  • Update and report the compliance issues (if any) to the management and HKCO through the monthly CRA/MI report and various compliance meetings (1. Compliance Committee Meeting with HK Branch management, HKCO & ACO, 2. CO-CLO Meeting, 3. AIBD Compliance Management Committee and 4. MLCO Coordinator Meeting).
  • Conduct new staff introductory compliance training and other compliance training for AIBD HK.
  • Conduct compliance checks (e.g. factiva check, call report monitoring, etc.) and follow-up with the respective staff if there are any findings or potential risk identified during the compliance checks.
  • Check the accuracy and completeness of the Entertainment & Gift Applications of AIBD HK.
  • Assist in the preparation of the material for reporting in the Quarterly Business Risk Meeting.
  • Prepare various compliance reports to be submitted to GCD/ACO such as the Compliance Plans, Monthly Report on Customer Complaints, etc.
  • Check the presentation materials prepared by the marketing officers of AIBD HK for suitability screening.
  • Disseminate the relevant compliance-related Circulars/Procedures from Head Office and Hong Kong Branch to AIBD HK staff and confirm, on a timely basis, whether the regional Procedures, including AIBD’s SOP, are in compliance with such Circulars/Procedures of Head Office and Hong Kong Branch.
  • Assist AIBD colleagues whenever they have any compliance-related problems / questions.

 

 

 

Job Requirements:

  • Preferably degree holder; Relevant professional /accredited certification
  • 4-8 years relevant experience
  • Relevant banking experience;
  • Knowledge of HKMA requirements and/or CIB products;
  • Experience in compliance/audit/risk management/internal control are highly preferred.

We regret to inform that only shortlisted applicants will be notified.