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Investment Advisory Compliance Officer, Vice President

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  • Requisition # 10046043-WD
  • Job Type Day
  • Location Glendale, CALIFORNIA
  • Other Locations TEXAS-Dallas, ARIZONA-Tempe
  • Date Posted 08/26/2021

Your potential. Your opportunity.

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020). In the Americas, we’re 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We’re a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.

Some MUFG roles require that individuals be fully vaccinated against COVID-19, subject to medical and/or religious exemptions, if applicable. Should you be selected for an interview, your recruiter will provide additional information.

Reporting to the Chief Compliance Officer, the Compliance Specialist III (Investment Advisory & Safeguarding-Privacy Officer) oversees all aspects of the compliance program for UBIS' investment advisory business. The Compliance Specialist will also be responsible for UBIS' compliance with the Bank policies and all applicable federal and state laws related to information safeguarding and privacy.

Major Responsibilities:

60% Oversee the investment advisory compliance program of UBIS. Develop and test all aspects of the compliance program on an on-going basis to meet legal and regulatory requirements. Enforce the provisions of the UBIS Code of Ethics, and provide overall business support for the implementation of the investment advisory policies and procedures. Conduct periodic reviews of the compliance program and adequately address any issues identified. Track legal and regulatory developments and adopt industry best practices. Communicate and interact with regulatory agencies, consultants and other internal risk management or audit groups within area of responsibility.

20% Develop and establish policies and procedures related to customer, employee, and business information safeguarding and privacy based on the Bank policies, applicable laws, regulatory requirements, and industry best practices. Report and coordinate instances of information breaches and assist in executing appropriate corrective action. Provide overall business support and facilitate on going training for UBIS employees. Serve as the UBIS safeguarding and privacy liaison for the Bank. Routinely perform reviews to help ensure compliance with policies and procedures, and to incorporate any necessary changes. Monitor the vendor management program to help ensure that items related to safeguarding and privacy are included in the due diligence performed on applicable vendors.

10% Coordinate with other business groups, departments, and staff, including senior management, to provide meaningful guidance on compliance issues related to investment advisory and information safeguarding and privacy, based on independent research. Demonstrate expertise as a valued resource for day-to-day inquiries and strategic business matters.


  • Solid understanding of the Investment Advisers Act of 1940, other SEC Rules and FINRA Rules Understanding of fee-based investment advisory business, including investment management theories and practices
  • Proficient with MS Office Suite: including Excel, Word, Access, and PowerPoint.
  • Strong communication and interpersonal skills, self-motivated/results-oriented, with the ability to function effectively with deadlines and work within a team environment with minimal supervision
  • Excellent organizational and time-management skills
  • Bachelor's degree is typically required 5+ years of related experience within broker dealer, investment adviser or regulatory agencies

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

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