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Compliance Control Room Analyst

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  • Requisition # 10046964-WD
  • Job Type Day
  • Location Irving, TEXAS
  • Date Posted 09/15/2021

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.

This is a hybrid position. You will work at an MUFG facility an average of one to three days per week, with the remainder being worked remotely. There are flexible work-from-home options available. A member of our recruitment team will discuss the options with you in more detail.

Job Summary:

The Compliance Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest.  This position is responsible to ensure that an effective compliance program is maintained to address compliance with applicable regulatory requirements, and to ensure that key compliance issues and actions are taken to mitigate compliance risk. 

Major responsibilities:

  • Utilize the Schwab application for onboarding employee profiles, tracking affirmation completion; centralize employee brokerage accounts and trade feeds with approved brokers; and recording brokerage account statements.
  • Develop and maintain relationships with key stakeholders, including businesses and other risk functions to ensure implementation of an effective compliance program. 
  • Provide consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Material Non-public Information, and Personal Account Trading). 
  • Execute projects as assigned by supervisor and/or Compliance senior management.
  • Assist in managing controls to prevent and detect insider trading by employees.  These activities include the administration of requirements under applicable insider trading policies, centralized reporting of material non-public information, firm and employees personal securities trade monitoring, management of information barriers, employee trade pre-clearance and metrics reporting.
  • Participate in the drafting of compliance related procedures.  Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matter; and respond to compliance related questions from management and staff.
  • Maintain macros and spreadsheets to ensure data is processed accurately; enhance processes through technical development.

Qualifications

Qualifications:

  • Bachelor’s degree required
  • Minimum of 2-5 years of Compliance and/or Control Room experience
  • Strong knowledge of financial markets and products
  • Series 7 a plus
  • Outstanding analytical and organizational skills
  • Strong IT skills
  • Excellent communications skills (verbal and written)

Join us as we evolve our organization to become

more agile, innovative, and inclusive!

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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