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Compliance Associate
2 months ago
Job Summary:
The Compliance Associate will join MUFG Pension & Market Services on a 12-month fixed term contract. This role will be based in our city centre office in Leeds, with a hybrid working arrangement requiring regular commutes to the office.
About the Role:
This Compliance Associate position will report to the Compliance Oversight Manager, who will provide guidance and support. The successful candidate will be expected to add value from day one, developing their knowledge of MUFG Pension & Market Services and imparting their existing compliance expertise to assist with team development.
Key Responsibilities:
- Performing compliance monitoring reviews in accordance with the annual compliance monitoring programme.
- Providing real-time compliance advice to the business regarding regulatory requirements and internal policies.
- Managing the review and administration of externally issued materials, including client presentations, website content, and financial promotions.
- Reviewing and providing feedback on any breaches and incidents.
- Preparing compliance-related Management Information for presentation and dissemination.
- Supporting the review, maintenance, and organisation of related compliance policies.
- Ensuring compliance with the FCA Conduct Rules applicable to all financial services employees.
- Supporting the ongoing review and assessment of applicable regulatory and industry developments.
Requirements:
- A minimum of 3 years' experience within a compliance role in the Financial Services industry.
- Demonstrable knowledge of regulatory requirements, especially but not limited to, the Financial Conduct Authority or other regulators.
- Exceptional written and verbal communication skills with the ability to interact with stakeholders of all levels internally.
- Excellent attention to detail and well-organised, with the ability to work as an integral member of the team.
- The energy, drive, and desire to work hard within a team, working collaboratively with the business you are supporting, developing their skills and understanding of compliance monitoring.
- The ability to build and maintain strong working relationships and support others within the team and wider business.
- Good report writing and presentation skills, in addition to excellent time management skills.
- An ability to exercise independent judgement and discretion whilst performing your duties.
- A strong background in computer literacy and working knowledge of Microsoft Word and Excel.
What We Offer:
MUFG Pension & Market Services provides a comprehensive benefits package, including:
- 26 days annual leave, plus a wellbeing day, a volunteer day, bank holidays, and the opportunity to buy up to 5 days' extra each year.
- Health, wellbeing, and lifestyle rewards that can be tailored to support you and your family.
- Appreciate programme: Employee recognition programme.
- Company Pension Scheme.
- Life Assurance.
- Medical Insurance.
- Paid Maternity, Paternity, Adoption Leave, Shared Parental Leave.
