AVP - First Line Controls

2 months ago

Bengaluru, Karnataka, India MUFG Global Service Full time

Position details:
In this role you will be performing first line control (FLC) assurance activity acting as the first line of defense for Global Corporate Investment Banking (GCIB) and Client Management Services (CMS). You will be working alongside FLC colleagues in London, providing assurance to GCIB Senior Management and internal stakeholders of the Bank that internal controls within GCIB and CMS are operating effectively in accordance with Bank policy and procedures, the EMEA MUFG Operational Risk Framework and overarching regulatory requirements.

Roles and Responsibilities:

  • Align the role of First Line Controls Bangalore with the strategic direction of GCIB First Line Controls, ensuring best practice on FLC procedures
  • Line management responsibilities including overseeing the work of junior colleagues, ensuring team members are clear on what is expected and how they are performing against key performance indicators
  • Reporting to London team head on progress of control testing, ensuring accuracy, timeliness and completion of FLC tasks assigned
  • Contribute to ongoing process improvement activities by identifying opportunities to increase efficiency, accuracy and completeness in sample testing
  • Identify opportunities to implement new testing where control deficiencies are identified
  • Support the execution and documentation of testing more complex in-scope processes across GCIB first line of defense and Client Management Services in accordance with FLC Procedures
  • Execute testing of GCIB and CMS key controls covering the end to end transaction lifecycle including on-boarding, credit approval process, financial close, off-boarding controls based on internal and industry standards and guidelines
  • Ensure key testing milestones are being met throughout the month in accordance with FLC task-list, flagging to GCIB London FLC team if any delays or blockers
  • Execute testing procedures timely, documenting results accurately, identifying and escalating exceptions and findings and follow up with remedial actions
  • Accurate and timely logging of findings in the findings database
  • Drive compliance with the Banks risk framework ensuring control testing meets the expectation of internal framework and key regulatory requirements e.g. SOX requirements
  • Embed the highest standards of business conduct to ensure GCIB continues to comply with internal and external stakeholder requirements
  • Effectively and collaboratively identify, escalate and resolve control deficiencies
  • Manage workload and team in order to undertake any ad hoc tasks assigned

Job Requirements:

  • Critical that the candidate can produce high quality work to demonstrate how testing was executed and linked back from the evidence to the test script and from the test script to the control
  • Prior experience in risk and controls or audit preferable
  • Banking products and key processes knowledge preferable
  • Knowledge of Compliance risks impacting Bank product/processes preferable
  • 6-8 years of previous experience
  • Degree level and/or relevant work experience
  • People management
  • Good interpersonal skills to effectively work in partnership with GCIB FLC, front office and Business Management colleagues.
  • Analytical skills with the ability to provide practical solutions for effective risk management.
  • Team player with ability to work independently to organize, manage and complete testing within agreed deadlines.
  • Excellent written and verbal communications skills and strong attention to detail
  • Self-driven and independent, able to work well cross functionally, challenge front office robustly and where required to ensure controls are working effectively.
  • Ability to manage large workloads within tight deadlines and with a calm approach.
  • Willing to take on new tasks and initiatives to contribute to continuous improvement.
  • Strong Microsoft Word, Excel, PowerPoint skills

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