AVP – Compliance Testing (EMEA)

Job title: AVP – Compliance Testing (EMEA)

Company: MUFG


Job description: About MUFG Global Service (MGS)MUFG Bank, Ltd. is Japan’s premier bank, with a global network spanning in 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. MUFG Bank’s parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) 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 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’s shares trade on the Tokyo, Nagoya, and New York stock exchanges.For more informatJob DescriptionAboutUs:MUFG Bank, Ltd. is Japans premier bank, withaglobal network spanningin morethan 40markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and servicesto businesses,governments,andindividuals worldwide. MUFGBanks parent,MitsubishiUFJFinancialGroup, Inc. (MUFG) is one of the worlds 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 worlds 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 fosteringshared andsustainablegrowth for abetter world.MUFGs sharestradeontheTokyo, Nagoya, and New York stock exchanges.MUFGGlobal ServicePrivateLimited:Establishedin2020,MUFGGlobalServicePrivate Limited(MGS)is100%subsidiaryofMUFGhaving offices in Bengaluru and Mumbai. MGS India has been set up as a Global Capability Centre / Centre of Excellence toprovidesupport servicesacrossvariousfunctionssuchasIT,KYC/AML,Credit, Operationsetc.toMUFG Bank offices globally. MGS India has plans to significantly ramp-up its growth over the next 18-24 months while servicing MUFGs global network across Americas, EMEA and Asia PacificAbouttheRole:Position Title:AVP CorporateTitle: AVPReportingto: VPCoreCompliance Location:BengaluruJobProfile:Positiondetails:

• To contribute to the overall success of Compliance Testing and its objectives by deliveringa risk-based program of second line compliance for MUFGs EMEA region. The role includes support of both the GlobalHeadOfficesassuranceprogramsandEMEAbasedtesting whichmayalsoincludeopportunities to travel to offices located within EMEA. The role may involve ad-hoc investigations, projects and thematic reviews.
• In this role, you will be responsible for the Compliance Testing program across MUFGs banking and securitiesbusinessunderadual-hatarrangement.Underthisarrangement,youwillactandmakedecisions on behalf of boththebank and thesecuritiesbusiness, subject tothesame remit andlevel of authority, and irrespective of the entity which employs you

MajorResponsibilities:

• Youwillbeexpected tocontributetotheoverall ComplianceTestingframeworkby:
• Conductingrisk basedthematic anddeskTier1reviews oftheLondonandEMEAbusinessareasto provide assurance over compliance and conduct risks to key stakeholders
• Supportingthescoping ofreviews
• Tracking,managingandtakingownershipoftheremediationofcompliance issues
• ProvidingsupporttoboththeBankandSecuritiesHeadOffices
• ProvidingregularMIformanagementandHeadOffice
• SupportingComplianceTesting projectsasdirected
• Identifyingcomplianceandconductrisktopicsandcommunicatingtotheteam, division andsenior management on any industry updates.
• Coaching,supportingandtrainingjunior membersoftheteam
• Otherad-hoctasksasrequested bymanagement

DirectReports: None

• Youwillbeexpectedtoperformyourresponsibilitiesunder thesupervisionof, and reportingto, aline manager. You will be expected to ensure that your line manager is fully aware at all times of your activities and to escalate any issues to the line manager or the Head of Department.
• Theabovestatementsareintendedtodescribethegeneralnature andlevelofworkbeingperformed.They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.

JobRequirements:

• Functional/TechnicalCompetencies
• ExcellentMicrosoftOffice (includingExcel)skills
• Strongrelationshipmanagementskills,includingwithseniorstakeholders
• Effectivetimemanagementskills,withtheabilitytoproducehighqualityoutput andmeettight deadlines
• Problemsolving,analysis andreportingskills
• Abilitytoexercise soundjudgement,balance riskandpracticalitytodetermineappropriateactions/ solutions
• Excellentpresentationandinterpersonalskills-abilitytocommunicateclearly andconciselyboth in person and in writing to articulate how an identified issue increases risk for the firm
• GoodunderstandingofInvestmentBanking andMarketsrisksandregulations
• Abilitytoscopereviews,create testscriptsandreviewtheworkof others
• Strongcompliancetesting experiencerequired
• BroadunderstandingoftheFCAHandbooks,Regulatoryapproaches&OFACStandards

Experience Essential:

• 4years+ofexperienceinacomplianceassuranceandtesting rolegainedinaEurope and / orUS bank.

Education/Qualifications:

• Degreelevel
• RelevantindustryqualificationsrelatingtoCompliancepreferred,e.g.CISI
• BehaviouralCompetencies
• Attentionto detail
• Haspracticalideas andmakesrecommendationsthatchallengecurrent practice
• Takesasolution focusedapproachtopromotecontinuous improvement
• Incorporatesnewbehavioursandchangesquickly toserveasarolemodeltoothers
• Fullysupportsabestpractice environment
• Identifiesopportunitiestoimproveprocesses
• Isateamplayer andiswillingtoteach andhelpother membersofthe team

PersonalRequirements:

• Excellentcommunicationskills
• Resultsdriven,withastrongsenseof accountability
• Aproactive,motivatedapproach.
• Theabilitytooperatewithurgencyandprioritizeworkaccordingly
• Strongdecision-makingskillswiththeability todemonstratesoundjudgement
• Astructuredandlogicalapproach towork
• Strongproblem-solving skills
• Acreativeandinnovativeapproach to work
• Excellentinterpersonalskills
• Theabilitytomanagelargeworkloadsandtightdeadlines
• Excellentattentiontodetailandaccuracy
• Acalmapproach,withtheability toperformwellinapressurizedenvironment
• Aconfidentapproach,withtheability toprovideclear directiontoothers inthe team
• Astrategicapproach, withtheability toleadandmotivatethosewithinyourteam
• Theabilitytoarticulateandimplementthevision/strategyfortheComplianceTesting&QAdepartment

Expected salary:

Location: Bangalore, Karnataka

Job date: Sun, 08 Jun 2025 07:55:10 GMT

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