Analyst - Transaction Monitoring

3 weeks ago

mumbai, India MUFG Full time

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

Purpose of Role

Support the team lead in managing the compliance governance requirements and responsible for conducting transaction monitoring from AML perspective to ensure compliance with the MUFG Bank policies and processes and local regulations. Responsible for supporting the team lead with the required data entry, compilation of statistics and reports, minute taking and the secure filing of compliance related documents in accordance with Bank’s internal guidelines.

Main Responsibilities

Customer

Develop and maintain strong stakeholder management with key stakeholders both within the Bank and externally. Work in partnership with various Departments to ensure compliance with local regulations Support the team lead to facilitate setting up an in-house compliance service that effectively supports business areas in their duty to comply with relevant laws and regulations and internal procedures. Support the team lead to provide pro-active and consultative advisory service to business on compliance related issues for the related areas.

Other/Control

Possess sound technical and practical knowledge on KYC / AML. Responsible for conducting transaction monitoring alert review, case investigation and filing of suspicious transaction report (STR) including manual alert management arising from various escalation sources, per Bank’s Internal Policy/Standards/Procedures. Ensure timely escalation of cases requiring STR filings to the team lead. For cases that are concluded as STRs, perform post investigation actions, in accordance with internal Policy/Standards/Procedures. Support the team lead to work towards bringing in improvement/efficiency in the AML investigation process in line with the Bank’s internal policy. Closely liaise with 1st line stakeholders to ensure timely completion of alert review and case investigation process, per internally defined timelines. Assist the team lead by preparing MI/reports to Head of FCC and senior management periodically. Assist team lead in ensuring timely and accurate submission of mandatory reports to FIU-IND. Responsible to manage alerts issued by Financial Intelligence Unit, India (FIU-IND), external enquiries/Request for Information (RFI) from regulator, enforcement agencies or equivalent. Support the team lead in co-ordination with RBI, FIU and other relevant agencies as and when required. Assist the team lead / Head of FCC on various projects driven by global / regional / local office on FCC ensuring timely effectiveness of responsibilities assigned. Support the team lead in preparing requisition and testing of new functionalities & rules in AML system. Assist the team lead in threshold analysis, review of transaction monitoring rules/alert scenarios and conducting data analytics including liaising with vendor. Complete administrative duties including but not limited to maintaining appropriate records of alert reviews/case investigations/STR filings, taking minutes of the meeting and secure filing of compliance related documents/ reports, both internal and external. Support team lead during internal and external audits. Maintain good working knowledge of industry trends, products, relevant laws and regulations. Perform ad-hoc tasks as and when assigned by team lead/Head of FCC/Chief Compliance Officer, within set timelines. Ensure that the quality of work delivered is maintained at all times. Adhere to all company policies as well as guidelines.

Key Relationships (with whom & Purpose)

Local Regulators - maintain an effective relationship with local regulators to ensure compliance with local regulations. Auditors – engage and assist the Department in addressing requirements during the audit period.

Candidate Profile

Desirable to have at least 3+ years of relevant experience in KYC/AML, particularly, transaction monitoring.

Degree qualified. ACAMS certification preferred.

Skills & Knowledge:

Proficient in MS Office (MS Word, Excel, PowerPoint). Proficient in filing mandatory reports to FIU-IND. Strong knowledge of KYC/AML regulation in India. Good communication skills with the ability to influence others.

Good stakeholder management skills to collaborate with other Departments

MUFG Bank Ltd & MUFG Securities Asia Limited (collectively referred to as “MUFG”) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.

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