Senior Compliance Officer

About us:

We are a global financial services provider with a presence in over 40 markets. Our commercial and investment banking products and services cater to businesses, governments, and individuals worldwide.

Our parent company is one of the world's leading financial groups, with a history spanning over 360 years. We have approximately 120,000 employees across our global network and offer a wide range of financial services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

Our goal is to be the most trusted financial group through close collaboration among our operating companies and flexible responses to all financial needs of our customers, serving society, and fostering shared and sustainable growth for a better world.

MUFG Global Service Private Limited

Established in 2020, MUFG Global Service Private Limited (MGS) is a subsidiary of our parent company 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 our 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), we're leveraging our digital capabilities to ensure we can continue to recruit top talent at our organization. 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.

Department Overview:

• About MGS – India Established in 2020, MGS formerly known as MES India is a subsidiary of our parent company 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 our global network across Americas, EMEA and Asia Pacific.
• The EMEA Surveillance Department sits within our 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 our business environment.
• This department plays a critical role in safeguarding our 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 spans across the EMEA region to deliver strategic surveillance solutions, including to our offices in France, Netherlands, Germany, UAE and Qatar.

Job Summary

This role involves reviewing and closing electronic and audio communication alerts for the EMEA region.

Main Responsibilities

• Reviewing and analyzing alerts generated from various automated electronic communication surveillance systems to detect potential violations of our policies, applicable rules and regulations, escalating to the appropriate department when necessary.
• Performing audio surveillance by listening to voice communications of recorded employees to detect potential violations of our 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 they're 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.

Requirements

Bachelor's degree: 8-10 years' experience in Financial Services or Banking Compliance Experience in using automated communications surveillance systems

Skills & Qualifications:

• Good understanding of market abuse / conduct / compliance topics
• Expertise in Microsoft Office Suite (i.e. Excel, Access, PowerPoint and Word)
• 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

Working Environment

We are committed to providing equal employment opportunities to all applicants and employees and do 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