Financial Regulatory Specialist

4 days ago

Bareilly, Uttar Pradesh, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,20,00,000
Job Summary

The role of a Manager involves reviewing and closing electronic and audio communication alerts for the EMEA region. This requires analyzing alerts generated from automated systems, performing audio surveillance, documenting rationales, adhering to operating procedures, and enhancing the communication surveillance program.


Main Responsibilities
  • 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 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.

Required Skills and Qualifications
  • Bachelor's degree in Finance or Banking with 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

Benefits

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 .

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