Associate - Client Due Diligence
Job in
Halifax, Nova Scotia, Canada
Listing for:
MUFG Investor Services
Full Time
position
Listed on 2026-03-03
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Compliance, Banking Operations
Job Description & How to Apply Below
Company Description
What’s in it for you to join MUFG Investor Services?
Take a look at our careers site and you’ll find everything you’d expect from a career with the fastest-growing business at one of the world’s largest financial groups. Now take another look. Because it’s how we defy expectations that really defines us. You’ll feel that difference in all kinds of ways. Our vibrant CULTURE. Connected team. Love of innovation, laser client focus, and next-level LEARNING & DEVELOPMENT.
Oh, and we really walk the talk when it comes to HYBRID WORKING.
So, why settle for the ordinary? Apply now for a Brilliantly Different career.
We thank all candidates for applying; however, only those proceeding to the interview stage will be contacted.
#LI-Hybrid
Job Description
Reporting to the Associate Director, Client Due Diligence, you will ensure MUFG conducts business operations in full compliance with all relevant national and international laws and regulations as well as professional standards, accepted business practices, and internal standards.
You will ensure that we meet our new business take on and Ongoing Monitoring (OGM) regulatory obligations by reviewing client files, updating risk assessment forms and ensuring the information is up-to-date and accurate.
Act as Maker/Checker for the review and sign-off Client Risk Assessment Forms, for new clients as part of the onboarding processAssess client documents and provide requirements list to the Client Integration (CI) project manager.Review new client's documentation promptly and present findings to CIAct as Maker/Checker for the review and sign off Client Verification ChecklistsReview CDD files on a periodic and trigger basis as part of our Ongoing Monitoring ("OGM") ProcessMaintenance and safe keeping of CDD documents, files and OGM trackersEnsure compliance with the AML Framework in place, across all relevant business areas and jurisdictionsReview and conduct CDD/KYC/PEP and Sanction Checks.Request appropriate CDD documentation from MFS & MAFS Clients/FundsReview constitution documentations for multiple entity types.Work with Clients through written communication, on a periodic basis until all appropriate CDD documentation has been obtainedEnsure queries and emails, are responded to promptlyIdentify issues and ensure appropriate action is taken or escalatedQualifications
A minimum of 18 months experience within an AML / Compliance roleExperience reviewing AML documents at a client or investor levelA strong team player and good attention to detail is ideal3rd Level / College Qualification desirableAdditional Information
Experience something Brilliantly Different with a career with MUFG Investor Services.
Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group family, and we partner with over 480 loyal global investment firms to provide them with administration, asset services, banking, and fund financing.
We’re in 14 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.
Still interested?
Position Requirements
10+ Years
work experience
Note that applications are not being accepted from your jurisdiction for this job currently via this jobsite. Candidate preferences are the decision of the Employer or Recruiting Agent, and are controlled by them alone.
To Search, View & Apply for jobs on this site that accept applications from your location or country, tap here to make a Search:
Search for further Jobs Here:
