- Monitoring & Surveillance activities across APAC for MUFG Securities.
- Thematic deep dive reviews of key firm regulatory risks
- Firm Investigations
- Review and closure of escalated alerts re: market conduct, trade surveillance, and general conduct
- BAU critical firm monitoring
- BAU critical QA work
- Administration of Compliance breach process and related submissions
- At least 5 – 7 years of relevant experience in international firms operating in key APAC markets.
- Good practical knowledge of Hong Kong regulatory standards mandatory. Singapore and Australian highly desirable.
- Excellent (fluent) written and spoken Cantonese, Mandarin and English language ability is a mandatory. Japanese highly desirable.
- Demonstrable experiencing undertaking Compliance reviews of key regulatory risks and driving closure of issues identified.
- Demonstrable experiencing reviewing, investigating and closing different types of surveillance alerts.
- Demonstrable firm investigations experience preferred.
- Excellent presentation and interpersonal skills.
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Monitoring & Surveillance - Hong Kong, 香港 - MUFG
描述
Do you want your voice heard and your actions to count?
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
Main Purpose of Role:
Principal Duties:
Key Skills:
MUFG Bank Ltd & MUFG Securities Asia Limited (collectively referred to as "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.
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