Compliance Specialist
Bank of Tokyo Mitsubishi UFJ Ltd - New York, NY

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In 2011, CoDA established a program for entry level hires. Each year several recent graduates will be hired and trained in all aspects of HQA compliance including Corporate Compliance, BSA/AML/OFAC, and Compliance Testing and Business Line oversight. This 3 year program will consist of rotational assignments in various areas of compliance. Training, mentorship and support will also be provided. At the conclusion of the program, effort will be made to assist each professional with obtaining a permanent position. In 2013, CoDA has refined the scope of the Entry Level Program to include a position focused solely on the Americas Oversight Program. The position will include coordination and interaction with the Corporate Compliance, BSA/AML/OFAC, and Compliance Testing functions from an Americas Oversight perspective.

Americas Oversight Entry Level Program:
Assess compliance function implementation in the offices covered under the Americas Oversight Program.
• Assist CoDA and local Compliance Officers in the preparation of Americas Oversight Program annual compliance plan and training.
• Ensure Compliance policies and procedures adopted by the BTMU offices covered under Americas Oversight Program are reflective of current regulatory requirements.
• Provide Compliance guidance and support to BTMU offices covered under Americas Oversight Program to assist them in carrying out their compliance function and responsibilities.
• Participate in monthly and bi-monthly conference calls with local under the oversight of the Americas Oversight Program to discuss pending issues, report on new developments, changes in the regulatory environment and discuss points of mutual interest.
• Follow-up on corrective action taken on issues raised by regulators, IAOA and Compliance Testing, ensuring resolution on a timely basis.
• Coordinate with Compliance Operations in assisting the offices covered under Americas Oversight Program in the completion of the annual risk assessments and reporting any significant changes to CoDA management.
• Complete other assigned projects as required by the Director Americas Oversight Program and Senior CoDA management.

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