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Role Overview
The primary purpose of this position is to ensure execution of Anti-Money Laundering ("AML") and Know Your Client ("KYC") / Onboarding process in a disciplined and sustainable manner. The Analyst will act as a Subject Matter Expert ("SME") for First-Line of Defense ("FLOD") KYC / Onboarding processes and work closely with Compliance, Risk and other departments to ensure the Global Corporate and Investment Banking ("GCIB") team operates in line with the Bank's overall goals and strategies.
Role Responsibilities
KYC function SME:
- Act as SME related to FLOD's end-to-end Onboarding process including KYC reviews, Quality Control ("QC") and Quality Assurance ("QA")
- Support GCIB’s KYC / Onboarding reporting, tracking and monitoring processes
- Ensure that all KYC review files meet the highest quality standard
- Prepare and maintain relevant onboarding applications, reports, procedures, and operating manuals
- Act as a subject matter expert on platforms and subscriptions specific to the CMU team
Risk & Control:
- Support risk and control responsibilities related to FLOD Financial Crime reporting and operational requirements
- Work with FLOD and SLOD and closely monitor the KYC due dates in order to comply with Overdue Guideline/ procedure.
- Provide execution support in line with Issues Management Framework and collaborate with internal stakeholders in a timely manner
- Develop productive relationships with Compliance, Audit, Testing, and Global Financial Crimes to ensure ongoing compliance with changing regulations and requirements
Stakeholder Management:
- Responsible to internal stakeholders for execution of KYC process
- Act as a SME when communicating with external stakeholders relating to FLOD client onboarding and reviews
- Apply knowledge of applicable regulatory requirements focusing on Corporate Banking, and relate them to policies, procedures and processes with the objective of enhancing efficiency and effectiveness of the KYC function.
- Perform other duties as required and assigned including active participation in auxiliary tasks under the supervision of CMU Managers such as Business Unit Risk Management, Risk & Control Self-Assessment, Inbound Due Diligence Reporting, Records & Information Management, Global Financial Crimes Risk Assessment, Billing & Revenue reporting and other similar initiatives which may arise from time to time.
Qualifications
- 3+ years in AML/KYC related industries
- Solid understanding of financial instruments, especially financial products for corporate banking
- Strong financial and risk analysis skills
- Ability to work under pressure and in a fast-paced environment
- Undergraduate University Degree in Finance and/or related industries
- Technical Skills: Proficiency in MS Word; Advance level in Excel; Excellent communication skills; Strong analytical logical reasoning and problem-solving skills; Excellent multitasking skills and task organizing ability; Strong time management skills.
- CAMS designation considered an asset
The job description and related application pertains to an opportunity with either MUFG Bank, Ltd., Canada Branch (“MUFG Bank Canada”) or MUFG Securities (Canada), Ltd. (“MUFG Securities Canada”). The job description relates to the general nature, scope, quantity and quality of work contemplated for the position. Other duties and responsibilities not specifically described may be assigned from time to time, consistent with knowledge, skills and abilities of the incumbent. The receipt of an application by either MUFG Bank Canada or MUFG Securities Canada, as applicable, does not imply or guarantee employment.
Each of MUFG Bank Canada and MUFG Securities Canada is an equal opportunity employer.
- As a federally regulated entity, MUFG Bank Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Canadian Human Rights Act and the Canada Labour Code. Where MUFG Bank Canada obtains information relating to protected grounds under the Canadian Human Rights Act as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Bank Canada does not use such information for decision making purposes relating to the position contemplated in this application.
- As a provincially regulated entity, MUFG Securities Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Human Rights Code (Ontario) and the Employment Standards Act (Ontario). Where MUFG Securities Canada obtains information relating to protected grounds under the Human Rights Code (Ontario) as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Securities Canada does not use such information for decision making purposes relating to the position contemplated in this application.
