AVP/Manager – Compliance Control Room

Job title: AVP/Manager – Compliance Control Room

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 DescriptionAbout Us:MUFG Bank, Ltd. is Japans 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 Banks parent, Mitsubishi UFJ Financial Group, 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 fostering shared and sustainable growth for a better world. MUFGs shares trade on the Tokyo, Nagoya, and New York stock exchanges.MUFG Global Service Private Limited:Established in 2020, MUFG Global Service Private Limited (MGS) is 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. 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 PacificAbout the Role:Position Title: Assistant Vice President / ManagerCorporate Title: Assistant Vice PresidentReporting to: Vice President Core ComplianceLocation: BengaluruJob ProfilePosition details:This role is within the Asia Compliance Control Room (CCR) which forms part of the Regional Advisory and Control Room Department in the Compliance Office for Asia (ACO). The role reports to the Regional Head of the Control Room and works with the Asia CCR Team as well as the Global CCR Team which consist of 3 independent CCRs located at MUFG Bank: London, NYC, and Tokyo. The CCR administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The position will be responsible for managing Material Non-Public Information, Transactional Conflicts of Interests and implementing information controls.Roles and Responsibilities:

• Information controls-related activities, such as insider registers management, deal updates, and outsourcing transactional conflicts checks
• Maintain central records within the Compliance Control Room (e.g., Deal Register, Conflicts of Interest Database, Watchlist.
• To assist in the preparation of monthly Management Information and other Compliance reports to the stakeholders
• Support general compliance activities and other duties, including special projects as assigned
• Trigger periodic reviews pertaining to CCR processes and provide follow-up support
• Provide timely administrative and logistics support to team
• Liaise with relevant divisions/units for development and enhancement of internal Compliance Control Room systems (e.g., the Global Compliance Control Room System, Regional Compliance System, etc.)
• Provide close support to regional branches/units compliance in all CCR-related matters i.e.: insider review support, customization of CCR reports etc.
• Execute projects as assigned by supervisor and/or Compliance senior management
• Seek opportunities to enhance efficiencies and streamline processes within teams

Job Requirements:Essential:

• Good presentation and stakeholder engagement skills
• Prior experience in handling large volume scale projects
• Shows a high level of integrity and moral principles
• Good written and verbal communication skills
• Pasion to lead change and drive towards achieving goals
• Good knowledge of conflicts management and products
• Proficient in Microsoft Office applications (Excel, PowerPoint)
• Attention to details, able to multi-task under tight timeline and with minimal supervision without comprising accuracy and quality.

Education / Qualifications:

• Degree Qualified and / or relevant experience.

Length & Type of Experience:

• Minimum 2-3 years of Conflicts Advisory and/or Control Room experience

Equal Opportunity Employer:The MUFG Group 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, or any other classification protected by the applicable laws.

Expected salary:

Location: Bangalore, Karnataka

Job date: Sun, 06 Apr 2025 07:03:43 GMT

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