About MUFG Investor Services
MUFG Investor Services provides asset servicing solutions to the global investment management industry. Leveraging the financial and intellectual capital of MUFG – one of the largest banks in the world with $2.8 trillion in assets – we provide clients access to a range of leading solutions from fund administration, middle-office outsourcing, custody, foreign exchange, trustee services and depository to securities lending and other banking services.
With a diverse and dynamic network of offices across the globe, MUFG Investor Services provides challenging and rewarding careers. We achieve this by offering continuous learning and development, collaborative team work environment, promotion of work-life integration, and exposure to a wide variety of work.
Imagine your future at MUFG Investor Services where you can grow professionally, in a diverse and inclusive workplace that rewards your contribution.
Reporting to the Executive Director – Client Integration, this role involves full ownership of the Client Due Diligence team across various locations and jurisdictions. This is a leadership position with the opportunity to develop and maintain a team of talented individuals. Key responsibilities include the following:
- Act as escalation point and SME on all KYC matters
- Act as a decision maker in terms of what exceptions to the process can be accepted and which need to be escalated further
- Second level review and sign-off of Client Risk Assessment Forms created by the Client Integration Team (CI), for new clients as part of the on-boarding process including files related to more complex engagements
- Manage a team including all areas of people management, recruitment & selection
- Manage OGM stats and backlogs
- Where required, report on OGM status to various committees
- Where required, review new client documentation in a timely manner and present findings to CI clearly and concisely
- Where required, review and sign off on Client Verification Checklists prepared for new clients by CI
- Spot check of the review of CDD files on a periodic and trigger basis as part of our Ongoing Monitoring (“OGM”) Process
- Maintenance and safe keeping of CDD documents, files and OGM trackers
- Ensure compliance with the AML Framework in place, across all relevant business areas and jurisdictions
- Liaising with Clients through written communication, on a periodic basis until all appropriate CDD documentation has been obtained
- Ensuring queries and emails, both internally and externally are responded to in a timely and accurate manner
- Identify issues and ensure appropriate action is taken or escalated
- Demonstrable experience within an AML / Compliance role
- Proven track record as a people manager
- Significant experience reviewing AML documents at a client and/or investor level