Mitsubishi UFJ Investor Services & Banking (Luxembourg) S.A.
Luxembourg, Luxembourg (Luxembourg)
Mitsubishi UFJ Investor Services and Banking (Luxembourg) S.A. (MIBL) is a Bank incorporated in Luxembourg and is fully owned by Mitsubishi UFJ Trust and Banking Corporation, member of the Mitsubishi UFJ Financial Group, one of the largest financial groups worldwide.
MIBL provides a wide range of financial services to institutional investors including depositary, custody, fund administration, and other banking-related services.
MIBL now has an opening in its Compliance Department for a:
Chief Compliance Officer - (CDI)
(Ref: MIBLHR_092026)
Responsibilities:
• Ensure the implementation of a Compliance function, in accordance with the guidelines set forth in the CSSF Circular 72/552 (and any other subsequent relevant Law or CSSF Circular) and by the Standard Compliance policy, procedure and manuals for Overseas Offices.
• The Compliance Officer function is an independent function with the objectives to:
• Identify and evaluate the Compliance risks (as defined below) within the Bank
• Organize, coordinate and structure compliance-related centralized controls; control and monitor all measures taken to mitigate the compliance risks:
• Report accordingly to the Executive committee and the Board of Directors
• Act as contact person for regulatory matters with the CSSF
• As MLRO (in case a separate MLRO function is not existing in the Bank) act as contact person with the public prosecutor
• Act as an adviser in Compliance matters within the bank.
• Moreover, the Compliance Officer will insure the following tasks:
• Organizing the department and, together with the Management if necessary, defining the duties of each staff taken individually;
• Support any Projects in the Bank and support to complete any application files to the regulators.
• Assist and Support the Management in appropriate way;
• Assist and Support the staff in their daily tasks;
• Appraisal of department staff;
• Authorizing and supervising any holidays and days off of the staff;
• Motivating and educating staff;
• Coordinating and organizing all inter-departmental issues relating to the department including the planning of all operational issues and permanent quality development;
• The compliance risk is defined as the risk the Bank may suffer as a result of its failure to comply with applicable laws, regulation, codes of conduct and standards of good practice and includes:
• Legal and regulatory risk;
• Reputation risk;
• Litigation risk;
• Risk of financial loss.
• Applicable laws, regulation and professional standards relate to:
• Laws, regulations and circulars governing access to the financial sector and performance of banking or
• Financial activities
• The prevention of money laundering and terrorism financing
• Confidentiality of information/ banking secrecy
• Professional ethics, including the protection of the client interest (investor protection, client information, market integrity, prevention of price manipulation)
• Insider trading and market abuse
• Internal code of conduct fostering an ethical environment, and best practice rules established by professional associations (e.g. ABBL, ALCO) or financial organizations (e.9. Stock Exchanges)
Qualifications:
• Master's degree in finance, Accounting, Economics, or a related field.
Required Skills:
• University degree in law or finance;
• Appropriate knowledge and understanding of investment funds and Custody business;
• Strong ability to communicate with all counterparts, head office, external and in-house;
• Appropriate PC & communication skills;
• Ability to take initiatives if and when necessary;
• Advanced level knowledge of AML/KYC and regulatory requirements
If you are interested in taking up this opportunity, please send your application letter with detailed curriculum vitae to:
Mitsubishi UFJ Investor Services & Banking (Luxembourg) S.A.
Attention: Human Resources Department
287, Route d'Arlon
L – 1150 Luxembourg
e-mail : recruitment@lu.tr.mufg.jp
Please be aware that in accordance with the law of July 23rd, 2016 the selected candidate will be requested to provide a criminal record (section 3).
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