Mitsubishi UFJ Trust and Banking Corporation, New York Branch
Compliance Monitoring and Surveillance First Vice President
Mitsubishi UFJ Trust and Banking Corporation, New York Branch, New York, New York, us, 10261
Compliance Monitoring and Surveillance First Vice President
Compliance Monitoring and Surveillance First Vice President
Get AI-powered advice on this job and more exclusive features. Direct message the job poster from Mitsubishi UFJ Trust and Banking Corporation, New York Branch Oversee the execution of daily controls on trades, orders and communications, ensuring appropriate quality control and monitoring. Manage and continually improve the Compliance Program, conduct reviews of parameters and threshold settings and establish monitoring controls for trade and electronic communication surveillance. Act as a point of contact for regulatory and audit engagements relating to trade & electronic communication surveillance. Work with Technology and Cross Functional stakeholders to enhance the design, development, implementation, and execution of the Compliance Surveillance Program Produce and provide management with surveillance program performance metrics. Assist in identifying and escalating issues though formal escalation channels to provide timely and effective resolution. Independently manage projects necessary to support Compliance monitoring and surveillance initiatives. Compliance Advisory:
Advising the First Line of Defense (FloD) on compliance obligations; keeping them apprised of relevant regulatory developments and policy requirements; monitoring and, as appropriate. Assessments:
Perform a review & challenge on the adequacy and effectiveness of the controls during various assessments including Compliance Risk Assessments, Product and Services Risk Assessments etc. Provide guidance on enhancing the control environment to reduce residual risk to acceptable levels and remain within the risk appetite. Lead Market Conduct assessment process, ensuring all potential risks are identify and mitigated Internal/External Training:
Keep abreast of current regulatory environment by attending training and seminars and researching matters related to compliance regulations and market practices in the banking industry. Maintain awareness of industry Compliance practices. Provide guidance and coaching to the mentoring to Compliance team members to advance individual goals and objectives. Designated Business Manager:
provide monthly KRI reporting participate in business managers meetings and its initiatives; work with the team to promote, detect, and mitigate risks in the group; make recommendations as necessary to improve processes and controls. Team lead with the RCSA testing and validation processes. As a Business Manager, this position is explicitly prohibited from conducting transaction or execution related functions. 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:
10+ years of relevant work experience. Experience in Surveillance System (NASDAQ SMARTS) Experience Managing a team. 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 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 $160K - $185K 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 Seniority level
Seniority level
Mid-Senior level Employment type
Employment type
Full-time Job function
Job function
Finance Industries
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Compliance Monitoring and Surveillance First Vice President
Get AI-powered advice on this job and more exclusive features. Direct message the job poster from Mitsubishi UFJ Trust and Banking Corporation, New York Branch Oversee the execution of daily controls on trades, orders and communications, ensuring appropriate quality control and monitoring. Manage and continually improve the Compliance Program, conduct reviews of parameters and threshold settings and establish monitoring controls for trade and electronic communication surveillance. Act as a point of contact for regulatory and audit engagements relating to trade & electronic communication surveillance. Work with Technology and Cross Functional stakeholders to enhance the design, development, implementation, and execution of the Compliance Surveillance Program Produce and provide management with surveillance program performance metrics. Assist in identifying and escalating issues though formal escalation channels to provide timely and effective resolution. Independently manage projects necessary to support Compliance monitoring and surveillance initiatives. Compliance Advisory:
Advising the First Line of Defense (FloD) on compliance obligations; keeping them apprised of relevant regulatory developments and policy requirements; monitoring and, as appropriate. Assessments:
Perform a review & challenge on the adequacy and effectiveness of the controls during various assessments including Compliance Risk Assessments, Product and Services Risk Assessments etc. Provide guidance on enhancing the control environment to reduce residual risk to acceptable levels and remain within the risk appetite. Lead Market Conduct assessment process, ensuring all potential risks are identify and mitigated Internal/External Training:
Keep abreast of current regulatory environment by attending training and seminars and researching matters related to compliance regulations and market practices in the banking industry. Maintain awareness of industry Compliance practices. Provide guidance and coaching to the mentoring to Compliance team members to advance individual goals and objectives. Designated Business Manager:
provide monthly KRI reporting participate in business managers meetings and its initiatives; work with the team to promote, detect, and mitigate risks in the group; make recommendations as necessary to improve processes and controls. Team lead with the RCSA testing and validation processes. As a Business Manager, this position is explicitly prohibited from conducting transaction or execution related functions. 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:
10+ years of relevant work experience. Experience in Surveillance System (NASDAQ SMARTS) Experience Managing a team. 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 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 $160K - $185K 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 Seniority level
Seniority level
Mid-Senior level Employment type
Employment type
Full-time Job function
Job function
Finance Industries
Financial Services and Banking Referrals increase your chances of interviewing at Mitsubishi UFJ Trust and Banking Corporation, New York Branch by 2x Get notified about new Compliance Specialist jobs in
New York City Metropolitan Area . New York City Metropolitan Area $125,000.00-$203,000.00 1 week ago New York City Metropolitan Area 3 weeks ago New York, NY $90,000.00-$105,000.00 1 week ago New York City Metropolitan Area $100,000.00-$125,000.00 2 weeks ago New York City Metropolitan Area $120,000.00-$140,000.00 3 weeks ago New York City Metropolitan Area $130,000.00-$200,000.00 2 weeks ago New York City Metropolitan Area 2 weeks ago New York City Metropolitan Area $100,000.00-$135,000.00 4 weeks ago New York City Metropolitan Area 2 weeks ago Ethics & Compliance Capabilities Specialist - Monitoring & Response
New York, NY $90,000.00-$165,000.00 1 week ago New York City Metropolitan Area $130,000.00-$140,000.00 4 days ago New York, NY $130,000.00-$150,000.00 1 week ago New York City Metropolitan Area $200,000.00-$270,000.00 3 weeks ago New York City Metropolitan Area $200,000.00-$240,000.00 2 weeks ago Business Operations & Compliance Specialist
New York, NY $75,000.00-$90,000.00 3 days ago New York, NY $90,000.00-$165,000.00 5 days ago New York City Metropolitan Area 5 days ago New York City Metropolitan Area 5 hours ago New York, NY $90,000.00-$165,000.00 5 days ago Regulatory Affairs Compliance Sr. Specialist
Princeton, NJ $93,800.00-$174,200.00 1 week ago Contract Compliance & Procurement Specialist
Danbury, CT $81,784.00-$106,166.00 3 months ago New York City Metropolitan Area $300,000.00-$400,000.00 2 weeks ago New York, NY $90,000.00-$165,000.00 1 week ago Regulatory Affairs Sr. Specialist (Hybrid Role - New York)
New York, NY $100,000.00-$120,000.00 6 days ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr