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Meer informatie over MUFG Bank (Europe) N.V.

Senior Core Compliance Advisor - MUFG Bank (Europe) N.V.

Locatie: Amsterdam
Provide functional leadership, direction and professional advice to the bank's business areas within MUFG Bank (Europe) N.V. (MBE) on core compliance aspects and provide technical advisory service

Overall Purpose of Job:
Provide functional leadership, direction and professional advice to the bank's business areas within MUFG Bank (Europe) N.V. (MBE) on core compliance aspects and provide technical advisory service to ensure that the business areas or business undertaken is in adherence with all relevant external regulatory requirements and statutory requirements as well as internal requirements applicable to the bank.

MUFG works with a split between Financial Crime and Core Compliance activities within Compliance. Core Compliance focuses on personal conduct and market conduct. Primary responsibility for these two areas will be divided between the two Senior Compliance Officers in Core Compliance.

Function positioning
The function forms part of the Compliance Division which is responsible for Compliance management and oversight for MBE. The function has a direct reporting line to the Head of Core Compliance MBE.

Essential Functions*:

  • Compliance Leadership: design and implement, within the wider risk framework, structures and processes that integrate the principles of effective compliance into daily operations, encourage behavioural change and drive good governance across MBE.
  • Evaluate the current status of compliance activities within MBE through the completion of periodic heat map meetings with compliance specialists, as well as attendance at relevant committee meetings (e.g. New Product Committee) and take appropriate action to address any shortfalls.
  • Global collaboration: work in partnership with risk and compliance specialists across the region and globally to share best practice, provide support and develop effective compliance policies and methodology appropriate to the Bank.
  • Review/resolve a range of the more demanding compliance issues, many of which may be sensitive, clarifying as appropriate the customers understanding of information being given, escalating issues as appropriate.
  • Communicate non-conformance issues to all relevant parties in order that appropriate and timely remedial action is taken providing guidance and support as necessary, alsoensuring that such issues are reported in accordance with established procedures and guidelines.
  • Provide specialist advice and guidance to the MBE business areas and branches in line with the agreed business objectives to meet all relevant internal and external regulatory/statutory requirements in relation to Compliance.
  • Keep abreast of changes in law, regulations and market practice as it affects MBE and submit recommendations for action and assisting in implementation thereof (policies and procedures, banking facilities and documentation produced by the Divisions and ensure such changes are taken into account as new documentation and legal forms are prepared).
  • Ensure at all times that documentation is accurate, free from error, meets the customer’s best interest and Bank’s duty of care, complies with relevant law and regulations, and fully protects the Bank and that any risks are identified for authorisation. Ensure transactions documented are operationally viable and customer indebtedness/security is legally recoverable.
  • Promote staff awareness, understanding of and commitment to Compliance matters and provide appropriate training for MBE staff.
  • As and when required undertake small projects and/or provide specialist input into wider business projects and initiatives, facilitating the identification and evaluation of risks and controls and recommending proportional cost effective solutions.
  • Contribute to the Compliance Division team’s workload.

The tasks described above, apply to the business of the MBE Amsterdam office and its branches.

Consultation and others

Participating in internal and/or external consultation platforms or committees (either on an ad hoc or permanent basis) regarding Compliance and Legal

  • CC (Compliance Committee)
  • OCC (Operation Control Committee)
  • AMLC (AML committee)

Education:

  • The function requires comprehensive knowledge at University level and wide practical experience across a number of financial services disciplines.

Work Experience:

  • Significant experience in a relevant area

Functional/Technical Skills and Knowledge requirements:

  • The function requires comprehensive knowledge at academic level, preferably complemented with a post graduate (executive master) degree in Compliance/Risk Management and wide practical experience across a number of financial services disciplines.
  • Experience in working in a compliance or legal function of an international financial institution or professional service firm, preferably on Financial and/or Corporate Banking Law.
  • Good knowledge of key relevant legal, regulatory and statutory requirements, technical interpretation and the ability to provide advice thereon. 
  • Comprehensive understanding of Group/MBE’s overall strategy and goals, structures policies and culture together with a detailed knowledge of the policies, operations, systems and key strategies in own business unit. 
  • Able to formulate own business area plans and strategy taking into account the wider business unit strategies and requirements. 
  • Pro-actively develops and maintains relationships with a wide range of keys contacts in all areas of MUFG. The Head of Core Compliance Advisory keeps his/her knowledge and skills up-to-date by reading internal bulletins regarding the area and by external or internal education.
  • Also an up-to-date understanding, of the wider financial services industry, regulatory changes and pertinent economic and political factors which may impact on MBE’s business and overall aims. 
  • Maintains close contact with external organisations/professionals for exchange of information, developments and the sharing of best practice. 
  • High level of personal independence
  • Complex problem solving skills
  • Strong networking and influencing skills
  • Coaching, mentoring and leadership skills
  • Delegation skills
  • Verbal and written communication skills in Dutch and English are essential.
Location:
Amsterdam

Information and application:

Apply:

Please send your application for Senior Core Compliance Advisor at MUFG in Amsterdam including your CV via our website.

Job code:

32551

Job posted

13 september 2019
Apply Now

More information:

Helen Cioni
00 31 (0)20 - 5737816

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