Compliance Expert

4 days ago

Bengaluru, Karnataka, India MUFG Full time

About MUFG:

MUFG Bank, Ltd. is Japan's premier bank, with a global network spanning over 40 markets. It offers commercial and investment banking products and services to businesses, governments, and individuals worldwide.

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 shares trade on the Tokyo, Nagoya, and New York stock exchanges.

Job Overview:

We are seeking a Compliance Expert - Risk Management Specialist to join our Americas Core Compliance Practices Division in Bengaluru. As a key member of our team, you will play a crucial role in managing compliance risk within the bank.

Main Responsibilities:

  • Regulatory Data Management (RDM) - Create FastMaps to upload data into Open Pages, reconcile data upload by the tech team, and ensure accuracy of data upload.
  • Clean up data within Open Pages and ensure it reconciles with other tools like materiality, monitoring tool, etc.
  • Work with Compliance Officers and Open Pages teams to create additional reports or modify existing reports to ensure they meet compliance needs.
  • Maintenance and management of excel-based data where required (data managed outside OP due to its limitations) and create required reports.
  • Manage annual LRRR applicability review analysis.
  • Ensure consistency of data and naming conventions between various systems and tools.
  • Core Compliance RCSA integration support.
  • Management of RDM Trigger based approach.
  • Support data entry in SharePoint and open pages for compliance teams that do not have access (MUTB and MFS).
  • Support creation of Quarterly Change and data reports.
  • Compliance Risk Assessment (CRA)
  • Support create CRA report to meet the need of various stakeholders like risk governance, risk id process, control review process, etc.
  • Enter data in the tool for entities without access (MUTB and MFS).
  • Reconciliation of data between Materiality and CRA tool.
  • Clean up of the tool to ensure consistency of naming convention across various systems reconcile.
  • Assist horizontal comparison review of like LRRR between various entities.
  • Monitoring
  • Clean up of Monitoring routines and assist with QC.
  • Support monitoring deep dive reviews.
  • Support data entry into Monitoring tool for COs without access.
  • Reasonable check to ensure that any new/changes routines are populated completed correctly + look for similarity where a new routine can be consolidated.
  • Help with Quarterly Monitoring Update.
  • Regulatory Change Management (RCM)
  • Support data entry into Reg Change and Reg Task objects for RCM Liaisons Without access to OpenPages.
  • Reasonable check to ensure that Reg Change and Reg Task records are completed correctly.
  • Help with QuarterlyRCM Report

Requirements:

To be successful in this role, you should possess the following qualifications:

  • 7-8 years of experience in financial services in either Audit, Compliance, or Risk Management is Required.
  • Bachelor of Commerce or Science degree is required along with another risk management/Audit certification/qualification like Chartered Accountant (CA) or Certified Internal Auditor (CIA) is required.
  • Semi Qualified CA's will also be considered.
  • Prior experience with one of the Big 4 firms is a PLUS.
  • Good understanding of Excel and its functionality is a PLUS.
  • Prior experience with Open Pages preferred.
  • Familiarity with compliance regulations impacting banks and working knowledge of a broad spectrum of financial products and services, and banking operations; preferred.
  • Self-starter with ability to work independently.
  • High level of attention to detail and documentation requirements.
  • Self-driven with ability to multi-task and handle multiple priorities at one time and operate in matrix organization.
  • Ability to communicate effectively (both orally and in writing)with various levels of management.
  • Experience in the following is a plus but not required: Power Apps, Data management, VBA, SQL, Access, Advanced Excel formulas, InfoPath Designer, Power Apps, Power Automate.
  • Demonstrated ability to manage workloads and prioritize deliverables, ability to be flexible

$100,000 - $120,000 per annum depending on experience. We offer an attractive compensation package including bonuses and benefits.

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