Surveillance Compliance Officer

4 hours ago

Coimbatore, Tamil Nadu, India beBeeSurveillance Full time ₹ 60,00,000 - ₹ 1,50,00,000
Compliance Officer - Surveillance

About Us:

MUFG is a premier bank with a global network spanning more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. The parent company, Mitsubishi UFJ Financial Group, Inc., is one of the world's leading financial groups. Headquartered in Tokyo and with over 360 years of history, the group has about 120,000 employees and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. The group aims to be the world's most trusted financial group through close collaboration among its operating companies and flexibly responding to all the financial needs of its customers, serving society, and fostering shared and sustainable growth for a better world.

The surveillance department plays a critical role in safeguarding MUFG's assets, employees, clients, and reputation by ensuring strict adherence to regulatory requirements, compliance standards, and internal policies.

  • This individual will be responsible for 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 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.
  • 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.

Requirements:

  • 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)

Affirmative Action Employer:

The bank 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.

What We Offer:

We offer competitive salary, comprehensive benefits package, and professional development opportunities to support your career advancement.

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