AVP- Compliance Testing

1 week ago

Bengaluru, Karnataka, India MUFG Global Service Full time

AbouttheRole

Position Title:AVP

CorporateTitle:AVP

Reporting to: VP Core Compliance

Location:Bengaluru
Job Profile

Positiondetails:

To contribute to the overall success of Compliance Testing and its objectives by deliveringa risk basedprogramme of second line compliance for MUFGs EMEA region. The role includes support of both theGlobal Head Offices assurance programmes and EMEA based testing which may also include opportunitiesto travel to offices located within EMEA. The role may involve ad-hoc investigations, projects and thematicreviews.

In this role, you will be responsible for the Compliance Testing programme across MUFGs banking andsecurities business under a dual-hat arrangement. Under this arrangement, you will act and make decisionson behalf of both the bank and the securities business, subject to the same remit and level of authority, andirrespectiveof theentitywhichemploysyou

MajorResponsibilities:

Youwillbeexpected tocontributetotheoverall Compliance Testingframeworkby:

  • Conducting risk-based thematic and desk Tier 1 reviews of the London and EMEA business areas toprovide assuranceovercomplianceandconductrisks to keystakeholders
  • Supportingthescoping ofreviews
  • Tracking,managingandtakingownership oftheremediationofcomplianceissues
  • Providingsupportto both theBank andSecuritiesHeadOffices
  • ProvidingregularMIformanagement andHeadOffice
  • SupportingComplianceTesting projectsasdirected
  • Identifying compliance and conduct risk topics and communicating to the team, division and seniormanagementonanyindustryupdates.
  • Coaching,supportingandtrainingjuniormembersoftheteam
  • Otherad-hoctasks asrequestedbymanagement

DirectReports:None

  • You will be expected to perform your responsibilities under the supervision of, and reporting to, a linemanager. You will be expected to ensure that your line manager is fully aware at all times of youractivities andtoescalateanyissuestothe linemanagerorthe Headof Department.
  • The above statements are intended to describe the general nature and level of work being performed. Theyare not intended to be construed as an exhaustive list of all responsibilities, duties and skills required ofpersonnelsoclassified.

JobRequirements:

Functional/TechnicalCompetencies:

  • ExcellentMicrosoftOffice(includingExcel)skills
  • Strongrelationshipmanagementskills,includingwithseniorstakeholders
  • Effective time management skills, with the ability to produce high quality output and meet tightdeadlines
  • Problemsolving,analysis andreportingskills
  • Ability to exercise sound judgement, balance risk and practicality to determine appropriate actions/solutions
  • Excellent presentation and interpersonal skills - ability to communicate clearly and concisely bothin person andin writingto articulate howanidentifiedissue increasesriskforthefirm
  • GoodunderstandingofInvestmentBanking andMarketsrisksandregulations
  • Abilitytoscope reviews,createtestscripts andreviewthework of others
  • Strongcompliancetesting experiencerequired
  • BroadunderstandingoftheFCAHandbooks,Regulatoryapproaches&OFACStandards

ExperienceEssential:

  • 4 years+ of experience in a compliance assurance and testing role gained in a European or US bank.

Education/Qualifications:

  • Degreelevel
  • RelevantindustryqualificationsrelatingtoCompliancepreferred,e.g.CISI

BehavioralCompetencies:

  • Attentiontodetail
  • Haspracticalideasandmakesrecommendationsthat challengecurrentpractice
  • Takesasolution focusedapproachtopromotecontinuousimprovement
  • Incorporates newbehaviours andchanges quicklytoserveasarolemodeltoothers
  • Fullysupportsabestpracticeenvironment
  • Identifiesopportunitiestoimproveprocesses
  • Isateamplayer andiswilling toteach andhelpothermembers oftheteam

PersonalRequirements:

  • Excellentcommunicationskills
  • Resultsdriven,withastrong senseofaccountability
  • Aproactive,motivatedapproach.
  • Theabilitytooperatewithurgencyandprioritiseworkaccordingly
  • Strongdecisionmaking skillswiththeabilitytodemonstratesoundjudgement
  • Astructuredandlogicalapproach to work
  • Strongproblemsolving skills
  • Acreativeandinnovative approachtowork
  • Excellentinterpersonalskills
  • Theabilitytomanagelargeworkloadsandtightdeadlines
  • Excellentattentiontodetailandaccuracy
  • Acalm approach, withtheability toperform wellinapressurisedenvironment
  • Aconfidentapproach, withtheability toprovide clear directionto others intheteam
  • Astrategicapproach, with theabilitytoleadandmotivate thosewithinyourteam
  • Theabilitytoarticulateandimplementthevision/strategyfortheComplianceTesting&QAdepartment

EqualOpportunityEmployer:

TheMUFGGroup iscommittedtoprovidingequalemploymentopportunitiestoallapplicantsandemployeesand does not discriminate on the basis of race, colour, national origin, physical appearance, religion, genderexpression,gender identity,sex,age,ancestry,marital status,disability,medical condition,sexualorientation,genetic information, or any other protected status of an individual or that individual's associates or relatives,oranyotherclassification protectedbytheapplicable laws.

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