Senior Compliance Specialist

2 days ago

Varanasi, Uttar Pradesh, India beBeeFinancialCompliance Full time US$ 1,50,000 - US$ 2,50,000

About Our Role

We are seeking a skilled professional to support the Global Compliance Testing function in performing deep dives and targeted risk-based reviews of Financial Crimes Compliance (AML, Sanctions, ABC) processes across APAC with an emphasis on the design and effectiveness of measures (controls) taken to monitor and mitigate applicable risk.

  • Engage directly with testing management and team leads with a goal to assist and when required lead end-to-end compliance testing reviews, applying the Bank's testing methodology for MUFG Bank locations globally.
  • Apply the bank's testing methodology and create testing workpapers to evaluate the effectiveness of existing financial crimes frameworks including the design and implementation of relevant controls across the AML, Sanctions and ABC framework.
  • Work closely with key stakeholders to understand business and functional requirements and support team leads in developing test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments, lessons learned from regulatory findings and internally identified issues by compliance testing and internal audit.
  • Engage review stakeholders during testing and monitoring reviews and provide credible challenges to ensure financial crimes controls are adequately evaluated.
  • Play a leading role in financial crimes related projects and engage with global and regional compliance management in the implementation of a coordinated, consistent, and risk-based testing program.
  • Assist in developing and maintaining quality control processes to drive adherence to Global Testing Standards.
  • Drive central coordination, governance, and reporting, leveraging regional structures and best practices.
  • Apply in-depth subject matter and industry expertise in preparing/reviewing reports summarizing the objectives, scope, findings, and conclusions of completed testing.
  • Support management in the validation of Management Action Plans designed to address remediation efforts and testing review findings.
  • Play a leading role and provide guidance to Analysts in coordinating with Issues Management for monitoring and tracking resolution of testing findings, including validating actions taken to resolve previously identified issues.
  • Monitor developments, such as changes in the regulatory environment, financial crime/core compliance risks and industry developments which may necessitate ad hoc testing.
Required Skills and Qualifications

We are looking for candidates with:

  • Experience with performing compliance testing, assurance processes or internal/external audits preferred.
  • Knowledge of financial crimes compliance and/or core compliance laws and regulations.
  • Excellent judgment and analytical skills.
  • Experience in working in diverse teams.
  • Strong written and verbal communication skills.
  • A qualified Chartered Accountant preferred.
  • Some travel may be required, domestic and international.
Benefits

We offer a competitive package that includes:

  • BA/BS Degree required, CAMS a plus.
Others

This role requires:

  • 10+ years of relevant experience, including experience in the financial crime's compliance and / or core compliance area of a global bank, consulting firm, or regulatory agency.

We value diversity and inclusion, and we encourage applicants from all backgrounds to apply.

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