Senior Financial Crime Compliance Specialist

6 days ago

Mumbai, Maharashtra, India MUFG Full time
Role Overview

MUFG is seeking a highly skilled and experienced Financial Crime Compliance Specialist to join our team. As a key member of our Financial Crime Compliance Department, you will play a critical role in ensuring the effective implementation of our Global Financial Crime Standards and Policies.

Key Responsibilities
  • Engage with global and regional financial crime compliance teams, first-line stakeholders, industry peers, and other compliance units and teams to provide expert solutions on the implementation of MUFG Global Financial Crime Standards and Policies on KYC and AML Investigation.
  • Act as the primary liaison and manager of both internal and external stakeholder relationships, managing regulatory inspection management/interactions and internal audits.
  • Support the Head of FCC in managing compliance governance requirements and perform AML investigations (including trade escalations) and reporting to authorities to ensure compliance with MUFG Bank policies and processes in terms of global, regional, and local requirements.
  • Responsible for supporting the Head of FCC with required MI and reporting on FCC (KYC/AML/Sanctions), secured filing of Regulatory Reports, and any other task on FCC, as and when assigned, in accordance with Bank's internal guidelines.
Requirements
  • Contribute to the development of Compliance Department's short and long-term plans to enhance compliance monitoring and control for the country.
  • Contribute in setting and implementing the vision, strategy, direction, and leadership in Compliance function in India.
  • Assist the Head of FCC in promoting and managing the culture and practice of Compliance within regulatory requirements and ethical standards consistent with supporting Group's strategic direction and growth aspirations.
  • Support the Head of FCC in planning and forecasting budgets for FCC function.
  • Develop and maintain strong stakeholder management with key stakeholders both within the Bank and externally.
  • Work in partnership with various Departments to ensure compliance with local regulations.
  • Support the Head of FCC to facilitate setting up an in-house compliance service that effectively supports business areas in their duty to comply with relevant laws and regulations and internal procedures.
  • Support the Head of FCC to provide pro-active and consultative advisory service to business on compliance-related issues for the related areas.
  • Responsible for managing (objective setting & performance management), developing (coaching, mentoring, career progression & training), and rewarding (financial and non-financial reward decisions) for direct reports.
  • Possess sound technical and practical knowledge in all aspects of KYC/AML/Sanctions as well as Project management.
  • Collaborative with strong interpersonal communication skills.
  • Demonstrate ability to manage multiple projects simultaneously.
  • Responsible for closely tracking Project progress and ensuring completion in a time-bound manner.
  • Manage Data Governance of FCC Systems/applications including timely submission of periodical reports to the Regional Office.
  • Responsible for placing MI/reports to Head of FCC and senior management on periodical basis.
  • Closely co-ordinate with Regional & Global Office on data analytics, review of transaction monitoring rules/alert scenarios, threshold tuning, including external vendor as and when required.
  • Ensure timely and accurate filing of reports to Financial Intelligence Unit, India (FIU-IND) within the regulatory prescribed timeline.
  • Provide guidance to first-line stakeholders to ensure timely implementation of any changes/revisions issued by FIU-IND/RBI, on STR/CTR/CCR/CBWTR/NTR or any other such report.
  • Responsible for preparing business requisition and testing of new functionalities & rules in AML system.
  • Responsible for placing MI/reports to Head of FCC and senior management (local as well as Regional/Global) on periodical basis.
  • Identify any compliance training needs and support the Head of FCC in drafting and developing training materials and administering training on need basis.
  • Support the Head of FCC to co-ordinate with RBI, FIU, and other relevant agencies as and when required.
  • Support the Head of FCC to ensure effective follow-up on actions agreed as mentioned in various communications by the RBI.
  • Assist the Head of FCC in various projects driven by Global/Regional/Local office and ensure timely effectiveness of responsibilities assigned.
  • Complete administrative duties maintaining appropriate records of minutes of the meeting and secure filing of compliance-related documents/reports, both internal and external.
  • Develop recommendations for continuous improvement and support implementation.
  • Support internal and external audits within the Department by preparing documentation as required.
  • Keeping abreast with industry trends, relevant laws, and regulations on KYC/AML.
  • Perform ad-hoc tasks as and when assigned by Head of FCC/Chief Compliance Officer, within set timelines.
  • Ensure that the quality of work delivered is maintained at all times.
  • Adhere to all company policies as well as guidelines.
About MUFG

MUFG is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organisational fit, regardless of race, religion, or gender.

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