Associate, Quality Assurance Compliance Specialist

MUFG
  • Requisition #: 27112018CR28
  • Job Type: Full Time
  • Location: Toronto, ON Canada

Description:

Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. As the 5th largest bank in the world, our diverse team is connected by a common ambition to create change for the better—from forging more dynamic career paths to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group.

MUFG is one of the world’s leading financial groups. With over 360 years of growing the financial health of the world’s greatest businesses, Mitsubishi UFJ Financial Group (MUFG) has a global network of 150,000 employees, with 1,800 offices and 300 entities in more than 50 countries. Our promise is simple. We serve our communities, foster economic growth and aim to become the preferred trusted financial advisers to our customers. Together, we have the unmatched expertise and global capabilities to meet the diversified needs of all our customers in the Americas and worldwide.

Job Description: 

Associate, Quality Assurance

Reporting to the Head of Portfolio Management, Canadian Corporate Banking (“CCB”), the primary purpose of this position is to provide Quality Assurance oversight for the department ensuring efficient processes in line with the Bank’s risk appetite and regulatory policies and procedures. A large function of the role is to continuously assess the overall quality of the KYC approval process with the Compliance Dept. for both CCB and Japanese Corporate Banking (“JCB”) customers.

Responsibilities:
1) Design and own the QA framework for the front office, including determining in-house quality standards, controls and procedures
2) Deliver the QA framework, identify issues requiring improvement and relevant remedial actions required
3) Review, query and facilitate approval of KYC files completed by the front office while properly identifying the appropriate risks
4) Collaborate with and provide compliance training to the front office to ensure adequate understanding of KYC and other risk and compliance issues
5) Liaise with key internal and external stakeholders with the goal of keeping abreast and up to date on regulatory requirements and the Bank’s policies and procedures
6) Maintain a good working relationship with the Compliance Dept. as the primary contact. Respond to queries and challenge requests during post-transaction review of approved KYC files
7) Support the Director and performs other duties as required and assigned

Notice: The above information on this job description has been described to indicate the general nature and level of work performed by incumbents. Other duties and responsibilities not specifically described may be assigned from time to time, consistent with the knowledge, skills, and abilities of the incumbent.

Qualifications:

  1. Bachelor’s Degree in Mathematics/Financial Analysis or related degree, Masters or relevant graduate degrees and designations are considered an asset 
  2. Minimum 5+ years related work experience in banking operations, credit processes, legal documentation, and multiple sector understanding.
  3. Proficiency using PowerPoint, Excel, and Word.
  4. Strong financial and risk analysis skills

Company

Chartered in 1981 and assuming its current identity as MUFG Canada Branch, our Canadian Branch is the premier Asia-based global bank in its market. We serve local and Japanese clients from the Atlantic to the Pacific with financial expertise across a number of key industries such as oil and gas, pipelines, power generation, automotive, transportation, and telecom.

The receipt of this application by MUFG Bank, Ltd., Canada Branch (“MUFG Canada Branch”), does not imply or guarantee employment. MUFG Canada Branch is an equal opportunity employer. We do not discriminate in hiring or in any other aspect of employment on the basis of the grounds enumerated in the Canadian human rights act. In addition, MUFG Canada Branch complies with applicable laws prohibiting discrimination in employment in every jurisdiction in which it maintains facilities. MUFG Canada Branch provides accommodation to individuals in accordance with the requirements outlined in Canadian human rights act and the Canada Labour Code.

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