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About the Role

This role ensures First Line of Defence (FLOD) regulatory obligations, focusing on Know Your Client (KYC), Quality Control (QC), and Quality Assurance (QA) programs, are met. The Assistant Vice President (AVP) will oversee the end-to-end KYC due diligence process, develop and maintain operating manuals and procedures, and act as a Subject Matter Expert (SME) for KYC onboarding and review processes, collaborating with Compliance, Risk, and other departments.

Responsibilities

Lead local strategy implementation and effectiveness of the Bank's KYC FLOD related programs (including onboarding, periodic and adhoc reviews, QC, QA)
Ensure that all KYC review files meet the highest quality standard
Lead development, implementation and maintenance of relevant processes, standards, reports, procedures and operating manuals
Maintain, track and act as subject matter expert on platforms, subscriptions, Service Level Agreements (SLA) specific to the Client Management Unit (CMU) and other Business Units
Lead execution support for risk and control responsibilities related to Second Line of Defence (SLOD) risk frameworks and Regulatory Compliance assessment requirements
Provide execution support for the Issues Management Framework including the identification, remediation planning, ongoing monitoring and closure validation of open issues, and collaborate for issues resolution in a timely manner
Responsible for monitoring and reporting to ensure integration with risk, compliance, and operational aspects of the Bank to ensure ongoing compliance with changing regulations and requirements
Support GCIB and JCIB customers on-boarding process and other customer-related requests with an emphasis on excellence in client service
Develop a strong and productive working relationship with FLODs
Liaise and coordinate relationships with local Compliance Department and Internal Audit, Testing teams and Global Financial Crimes Division (non-domestic)
Act as SME for various cross-functional and enterprise-wide projects and manage relationships with multiple stakeholders at all levels
Apply knowledge of all current applicable regulatory obligations focusing on Corporate Banking, and be able to relate them to policies and procedures
Provide KYC FLOD related training to relevant stakeholders
Continuous assessment of KYC FLOD programs and process improvement
Perform other duties as required and assigned including active participation in auxiliary tasks such as Business Unit Reporting and Risk Management, Risk & Control Self-Assessment, Inbound Due Diligence Reporting, Records & Information Management, Global Financial Crimes Risk Assessment, Billing & Revenue reporting and other similar initiatives which may arise from time to time.

Requirements

5+ years of working experience in the Financial Industry with solid understanding of Corporate Banking
Solid knowledge of KYC / AML / QC / QA and Regulatory Compliance
Ability to work in a fast-paced environment/ multitasking/ independently
Proficient with policy analysis and procedure writing
Proficiency in MS Office Word, Excel, PowerPoint.
General IT / systems knowledge
Analytical approach to performing complex and varied tasks
Influential / leadership communications skills (verbal and written), critical thinking skills, business process / analysis skills, documentation skills
High risk management skills and project management skills

Skills

KYC
AML
QC
QA
Regulatory Compliance
Policy analysis
Procedure writing
MS Office Word
MS Office Excel
MS Office PowerPoint
Analytical skills
Communication skills
Critical thinking
Business process analysis
Documentation
Risk management
Project management

Location

Canada

Work Type

Full-time

Experience Level

Assistant Vice President
5+ years

Education Level

Undergraduate University Degree in Finance, Economics or related field
CAMS designation preferred

About the Company

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups with 150,000 colleagues globally.
MUFG is committed to making a difference for every client, organization, and community served.
The company stands for its values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
MUFG's vision is to be the world’s most trusted financial group.
It is part of MUFG's culture to put people first, listen to new and diverse ideas, and collaborate toward greater innovation, speed, and agility.
MUFG invests in talent, technologies, and tools that empower employees to own their careers.
The opportunity is with either MUFG Bank, Ltd., Canada Branch (“MUFG Bank Canada”) or MUFG Securities (Canada), Ltd. (“MUFG Securities Canada”).

Equal Opportunity

Each of MUFG Bank Canada and MUFG Securities Canada is an equal opportunity employer.
As a federally regulated entity, MUFG Bank Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Canadian Human Rights Act and the Canada Labour Code.
As a provincially regulated entity, MUFG Securities Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Human Rights Code (Ontario) and the Employment Standards Act (Ontario).