Manager - Surveillance

About MUFG Global Service MGS MUFG Bank Ltd is Japan s premier bank with a global network spanning in more than 40 markets Outside of Japan the bank offers an extensive scope of commercial and investment banking products and services to businesses governments and individuals worldwide MUFG Bank s parent Mitsubishi UFJ Financial Group Inc MUFG is one of the world s leading financial groups Headquartered in Tokyo and with over 360 years of history the Group has about 120 000 employees and offers services including commercial banking trust banking securities credit cards consumer finance asset management and leasing The Group aims to be the world s most trusted financial group through close collaboration among our operating companies and flexibly respond to all the financial needs of our customers serving society and fostering shared and sustainable growth for a better world MUFG s shares trade on the Tokyo Nagoya and New York stock exchanges For more informat About Us MUFG Bank Ltd is Japans premier bank with a global network spanning in more than 40 markets Outside of Japan the bank offers an extensive scope of commercial and investment banking products and services to businesses governments and individuals worldwide MUFG Banks parent Mitsubishi UFJ Financial Group Inc MUFG is one of the worlds leading financial groups Headquartered in Tokyo and with over 360 years of history the Group has about 120 000 employees and offers services including commercial banking trust banking securities credit cards consumer finance asset management and leasing The Group aims to be the worlds most trusted financial group through close collaboration among our operating companies and flexibly respond to all the financial needs of our customers serving society and fostering shared and sustainable growth for a better world MUFGs shares trade on the Tokyo Nagoya and New York stock exchanges MUFG Global Service Private Limited Established in 2020 MUFG Global Service Private Limited MGS is 100 subsidiary of MUFG having offices in Bengaluru and Mumbai MGS India has been set up as a Global Capability Centre Centre of Excellence to provide support services across various functions such as IT KYC AML Credit Operations etc to MUFG Bank offices globally MGS India has plans to significantly ramp-up its growth over the next 18-24 months while servicing MUFGs global network across Americas EMEA and Asia Pacific The health and safety of our employees and candidates are very important to us Due to the current situation related to the Novel Coronavirus 2019-nCoV were leveraging our digital capabilities to ensure we can continue to recruit top talent at the MUFG Group As your application progresses you may be asked to use one of our digital tools to help you through your recruitment journey If so one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have If youre looking for a career where you can make a real impression join MUFG and discover how valued youll be Department Overview About MGS India Established in 2020 MUFG Global Service MGS formerly known as MUFG Enterprise Solutions India Private Limited MES India is 100 subsidiary of MUFG Bank Ltd having offices in Bengaluru and Mumbai MGS India has been set up as a Global Capability Centre Centre of Excellence to provide support services across various functions such as IT KYC AML Credit Operations etc to MUFG Bank offices globally MGS India has plans to MUFG Bank Ltd significantly ramp-up its growth over the next 18-24 months while servicing MUFGs global network across Americas EMEA and Asia Pacific The EMEA Surveillance Department sits within the MUFG Core Compliance Division Through an established trade and communications surveillance program EMEA Surveillance is responsible for preventing monitoring detecting and reporting suspicious trading activities market and client misconduct and other compliance breaches within MUFG EMEA s business environment This department plays a critical role in safeguarding MUFG EMEA s assets employees clients and reputation by ensuring strict adherence to regulatory requirements compliance standards and internal policies Whilst the department is based in London supported by its Centre of Excellence in Bangalore its remit spansacross the EMEAregion to deliver strategic surveillance solutions including to MUFG offices in France Netherlands Germany UAE and Qatar Position Manager Location Bangalore India Legal Entity MGS India Job Profile Purpose of Role This individual will be responsible for reviewing and closing electronic and audio communication alerts for the EMEA region Main Responsibilities These responsibilities include but are not limited to providing support in conducting the items listed below as per SOPs and may be amended from time to time Reviewing and analyzing alerts generated from various automated electronic communication surveillance systems to detect potential violations of MUFG policies applicable rules and regulations escalating to the appropriate department when necessary Performing audio surveillance by listening to voice communications of recorded MUFG employees to detect potential violations of MUFG policies applicable rules and regulations escalating to the appropriate department when necessary When closing alerts properly documenting rationales with accurate complete and organized written commentary for audit trail Adhering to written operating procedures for each of the reviews theyre responsible for Modifying procedures and submitting them for approval when needed Driving the enhancement and improvement of the communication surveillance program from both an effectiveness and efficiency perspective including clearly communicating findings and recommendations to onshore Surveillance teams and the EMEA Head of Surveillance Supporting compliance investigations when necessary including gathering and analyzing communication logs trade data and other relevant information to identify trends patterns and anomalies Preparing quantitative and qualitative metrics to report surveillance results to Senior Management including identifying potential trends or themes that may warrant further consideration or action This may include using Microsoft Excel or data analysis and reporting tools such as Tableau Keeping up to date with regulatory changes internal policy updates and regulators actions to determine that the surveillance systems incorporate up-to-date techniques and address advanced market abuses and misconduct matters Supporting general compliance activities and other duties including special projects as assigned by Senior Management Regularly receiving technical or practical training delivered online or face to face in person or virtually covering a wide range of Compliance topics including more detailed target training relating to financial services market abuse and surveillance and investigative techniques Skills Experience Bachelors degree 8-10 years experience in Financial Services or Banking Compliance Experience in using automated communications surveillance systems Good understanding of market abuse conduct compliance topics Expertise in Microsoft Office Suite i e Excel Access PowerPoint and Word The ideal candidate will demonstrate the following skills and attributes Excellent written and verbal communication skills Attention to detail excellent organizational skills Strong analytical and problem-solving skills Ability to exercise sound judgment and escalate issues appropriately Ability to establish and maintain strong relationships across multiple departments Team player and ability to work collaboratively Ability to work with and manage stakeholders of different seniority Native-level proficiency in the English language both verbally and in writing is required Fluency in Japanese and or French is a plus Equal Opportunity Employer The MUFG Group is committed to providing equal employment opportunities to all applicants and employees and does not discriminate on the basis of race colour national origin physical appearance religion gender expression gender identity sex age ancestry marital status disability medical condition sexual orientation genetic information or any other protected status of an individual or that individual s associates or relatives or any other classification protected by the applicable law MUFG Way Committed to empowering a brighter future