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Trading Compliance Analyst, Associate/AVP

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  • Requisition # 10046473-WD
  • Job Type Day
  • Location Tempe, ARIZONA
  • Date Posted 08/26/2021

Your potential. Your opportunity.

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.

Candidate will have current/recent experience in a Compliance focused capacity for a RIA/Asset Manager (buy side).

Job Summary:

The ability to work east-coast market hours starting at 6am PT. This position primarily is responsible for the development and monitoring of HighMark’s SEC Rule 206(4)-7 Compliance Program as it relates to the oversight and due diligence review of the duties and responsibilities of the investment adviser and sub-advisers. This position also will assist with the advisors Anti-Money Laundering (“AML”) program. This individual will have direct interaction with senior management of HCM and UB and advise executive and line management on emerging compliance issues, and will be responsible for establishing policies, procedures, and controls.

Major responsibilities:

  • The ability to work east-coast market hours starting at 6am PT. 
  • Assist the Compliance Manager with the compliance program under SEC rules 206(4)-7.
  • Develop as the ‘go to’ person within HighMark and the Bank for policies and procedures relating to best execution, trade allocation, code of ethics, training, adviser regulatory filings and other supervisory responsibilities.
  • Annually coordinate the update of HCM’s Form ADV, Parts I & II and ensure timely filing with the SEC. Develop policies and procedures relating to the adviser and ensuring that such policies and procedures are up to date and reflect current operational practices.
  • Contribute as a proactive voice within HighMark compliance, as well as HighMark’s separate accounts, common trust funds and institutional accounts.
  • Support the CCO and Compliance Manager on trading compliance and compliance rule setup in the trade order management system.
  • Review daily account data and changes, as well as review and amend investment policy statements. Review daily alerts and warnings in the trade order management system, communicate with Portfolio Managers & Traders, while tracking outstanding issues and their resolution.
  • Follow through on specific compliance and business-related issues for senior management and play a key role in resolving these issues.
  • Identify and communicate regulations relevant to HighMark’s lines of business, in a way that supports compliance as a positive factor in the commercial success of the business.
  • Provide proactive and situation-specific support on individual transactions and projects and on broader issues of policy and principle to ensure that applicable laws and regulations, as well as HighMark’s standards, are fully observed in spirit as well as in letter.
  • Ensure productive relationships within HighMark, striving to establish a constructive relationship based on clear communication, mutual understanding, and shared objectives.
  • Assist with vendor management, reporting, and inquiries.
  • Assist with research and responses to regulatory examinations by federal regulators and internal audits. Ensure productive relationships with internal auditors and regulators.
  • Assist with compliance controls reviews/testing, requests, and management of issues resulting from such reviews.
  • Contribute to the development and implementation of top-notch internal training programs.
  • Assist with monthly, quarterly, and annual reporting.
  • Contribute to the development of ideas relating to the implementation of systems to automate compliance and create operational efficiencies.
  • Assist in the monitoring and training relating to the firm’s Code of Ethics, record retention policies, and data load errors.
  • Work closely with UB Legal and Corporate Compliance and follow through on issues pertaining to compliance.



  • The ability to work east-coast market hours starting at 6am PT. 
  • Bachelor’s Degree in Business, Finance, Accounting, or related discipline
  • A minimum of three years of compliance experience in investment adviser, mutual fund regulatory compliance.
  • This experience will likely include significant roles and responsibilities in the compliance area of investment management company and/or investment advisor.
  • Proven ability to function in a risk-conscious environment while working within strategies to move the business forward.
  • Ability to interface effectively with management and team members.
  • A high level of sophistication and experience with the use of information technology in support of the compliance function.
  • Demonstrated success in working within processes, procedures and systems that optimize compliance and business results.
  • Demonstrates leadership, consulting, presentation, and project management skills.

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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