Senior Compliance Specialist

About Us:

We are a global financial institution with a network spanning over 40 markets. Our extensive range of 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, headquartered in Tokyo with over 360 years of history. We have about 120,000 employees and offer services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

Our goal is 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 Global Service Private Limited:

Established in 2020, MUFG Global Service Private Limited (MGS) is a 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.

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 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.

Department Overview:

• About MGS – India Established in 2020, MUFG Global Service (MGS) formerly known as MUFG Enterprise Solutions India Private Limited (MES India) is a 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 MUFG's 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 spans across the EMEA region 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 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.

Skills & Experience:

• Bachelor's 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:

We are 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