Compliance Associate

1 day ago

Leeds, Leeds, United Kingdom MUFG Pension & Market Services Full time
About the Role

The Compliance Associate will play a crucial role in ensuring the compliance of MUFG Pension & Market Services with regulatory requirements. This is a 12-month fixed-term contract, working on a hybrid basis from our city centre office in Leeds. You will need to be within a commutable distance for the days you're in the office.

Key Responsibilities
  1. Perform compliance monitoring reviews in accordance with the annual compliance monitoring programme.
  2. Provide real-time compliance advice to the business regarding regulatory standards and internal policies.
  3. Manage the review and administration of externally issued materials, including client presentations and financial promotions.
  4. Review and provide feedback on any breaches and incidents.
  5. Prepare compliance-related Management Information for presentation and dissemination.
  6. Support the review and maintenance of compliance policies and projects.
  7. Ensure compliance with the FCA Conduct Rules applicable to all financial services employees.
  8. Support the ongoing review and assessment of regulatory and industry developments.
Requirements
  1. A minimum of 3 years' experience within a compliance role in the Financial Services industry.
  2. Demonstrable knowledge of regulatory requirements, especially the Financial Conduct Authority or other regulators.
  3. Exceptional written and verbal communication skills with the ability to interact with stakeholders of all levels internally.
  4. Excellent attention to detail and well-organised, with the ability to work as an integral member of the team.
  5. The energy, drive, and desire to work hard within a team, developing their skills and understanding of compliance monitoring.
  6. The ability to build and maintain strong working relationships and support others within the team and wider business.
  7. Good report writing and presentation skills, in addition to excellent time management skills.
  8. An ability to exercise independent judgement and discretion whilst performing duties.
  9. A strong background in computer literacy and working knowledge of Microsoft Word and Excel.
What We Offer

MUFG Pension & Market Services offers a range of benefits, 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.
  • Employee recognition programme.
  • Company Pension Scheme.
  • Life Assurance.
  • Medical Insurance.
  • Paid Maternity, Paternity, Adoption Leave, Shared Parental Leave.

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