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Purpose of the role
Support Compliance Officer as a “CC (Core compliance) Manager” for the proper & timely implementation of Compliance programs in the Branch related to Core Compliance functions and is responsible for
Capturing & reflecting all the Core Compliance requirements from local laws & regulations and regional/global requirements in the branch policies and manuals.
Directing and overseeing implementation of those policies in the branch. (e.g. RCM (Regulatory Change Management), Marketing Materials Review, PAD/OBI, Terms/Conditions, and all about CC)
Responding & managing internal & external audits & testings. (regional/global)
Represent the team in inter-department meetings and projects (e.g. PAD&OBI, Ethics, ACP (Asia Compliance Program), CRA (Compliance Risk Assessment), Management Information, SCM (branch townhall)
Providing guidance to subordinate. (Training, Local Regulatory Notice, Global Circular, L&R, RCM, etc.)
CC manager shall support the branch Compliance Officer for building up sound compliance culture & program in the branch and guide & train subordinates for the quality of department’s performances.
Job Responsibilities:
Support Compliance Officer in setting up and implementing departmental strategies including but not limited to Compliance (CC) function.
Support business initiatives led by Front Line units.
Actively participate in CC Projects
Support the Compliance Officer with compliance-related tasks, including policy development and interpretation.
Provide guidance and advice to departments on adhering to internal CC policies and compliance requirements.
Collaborate with colleagues with the Regional Office to support the completion of CC-related matters
Coordinate with external law firms to obtain legal opinions
Support stakeholders in the Regional Head Office and Seoul Branch in seeking clarification on CC requirements.
Guide, motivate, and support subordinate not only in BAU activities (e.g. Local Regulatory Notice, Training, Regulatory Change Management, Customer Complaint, FSS Audit Findings Check, or etc.) but also in objective setting, performance management, and career development
Review, update & localize policies, procedures and manuals within the required timeframe.
Respond and review Global/Region’s (ACO, MGS, GCD) requests and to implement them, if required.
Support internal and external audits and testing activities related to Branch Compliance.
Manage the branch Issue Management and update on GRC in a timely manner.
Ensure adherence to Branch Compliance policies and relevant regulatory guidelines.
Prepare internal report (e.g. list management requests related to authorities) to CO.
Manage regulatory changes & related RCM processes in relation to CC in a timely manner.
Review the ACP, CRA, and MI for overall CC governance management.
Conduct ad-hoc duties such as offshoring and outsourcing with MGS, and ODC.
Conduct regular internal review (e.g. List of persons for sales via visiting or call under financial consumer protection act, Marketing Materials Review Checklist, Financial Consumer Protection including minutes, etc.)
Job Requirements:
Minimum 2 years of experience in the banking or financial institution industry.
Bachelor’s degree in a relevant field.
Experience in compliance or risk management will be an advantage.
Strong communication skills in English (both written and spoken), with the ability to effectively interact with both internal and regional stakeholders.
Ability to work independently and collaboratively within a team.
Detail-oriented, organized, and able to manage multiple priorities.
We regret to inform that only shortlisted applicants will be notified.
Mitsubishi UFJ Financial Group (MUFG) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.