An experienced Compliance professional to join the Asian Compliance Office – Central Compliance Department (ACO-CC), which deals with Core Compliance (i.e. all compliance areas minus financial crime).
The role will work closely with the Comms Surveillance Team Lead before her maternity leave towards the end of 2020, and then oversee the team during her absence; this will include some day to day comms surveillance. Additionally, the role will work closely with the Head of Central Compliance to support the strategic project to centralise APAC Compliance activities, including comms surveillance.
- To perform electronic communications surveillance across multiple surveillance platforms for MUFG to ensure compliance with regulatory requirements, internal policies, procedures and SLAs as applicable, and perform investigations into escalated matters where necessary
- During the Team Lead’s leave, oversee and manage the Surveillance Team, ensuring key processes/ controls are in place, risks are identified / mitigated and ensuring that issues / key findings are escalated promptly with proper documentation.
- To work closely with stakeholders and SMEs in and outside ACO to share knowledge, and drive the continuous development and enhanced consistency across APAC and with other regions
- To liaise with relevant units for development of Surveillance system (e.g. Global Relay)
- Support the centralisation project, helping to ensure appropriate documentation is in place, processes are appropriate, and training materials developed
- To lead, play a role and/or support compliance initiatives and projects where requested
- Other responsibilities relating to the function and management of ACO as instructed by ACO management or HOD of ACO-CC from time to time.
- Team Lead experience is desirable but not essential as long as the candidate has a strong background in regulatory compliance communications surveillance.
- Experience of conducting communication surveillance for commercial/investment banks and drafting quality reports is essential.
- Good verbal, written communication and presentation skills
- Good interpersonal skills and dealing with management at all levels.
- Meticulous, analytical and independent self-starter with proven ability to work collaboratively within teams and to deliver on time.