Avp- Emea Communications Surveillance Officer - London, United Kingdom - MUFG

MUFG

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Do you want your voice heard and your actions to count?
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 6th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization, and community we serve.

We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility.

This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

This role has no direct reports but may have coaching or supervisory responsibilities
Managing stakeholder expectations required

OVERALL PURPOSE OF ROLE
As a member of the Compliance Division, you will:

Perform the activities of the Comms Team covering all business channels used from time to time.
The role will require you to support projects, and perform surveillance across and/or provide support to other EMEA offices in relation to similar activities (eg onsite or online training or central surveillance).
Perform daily or periodic communications surveillance work in line with regional or global standards and the testing programme in place from time to time covering EMEA operations primarily. This may change in line with operational requirements.
Your role will require you to act as an SME for the team in the delivery and management of technology projects and to be a liaison with Technology, Change and Vendors on BAU service level issues.
Deliver highquality and proactive support to business and operational areas and activities, assisting the firm to do business in the right way and to grow its businessfootprint.
Support your team in connection with any regulatory requests and investigations and promote a good understanding of the firm's controls and governance.
Ensure key processes and quality controls are run efficiently to deliver quality and reliable information, to support the firm's business growth and control procedures. Develop and integrate these processes across relevant operating entities and desks to deliver a firstclass EMEA team.
Deliver riskbased assurance to the firm's senior management and the Group through independent challenge and quality reporting.
Support MUFG global initiatives in communications surveillance with the aspiration to be part of an MUFG Global Centre of Excellence. Play a meaningful and collaborative role regionally and globally on systems and technology solutions for Compliance.
Treat all access rights and information viewed or reviewed with utmost confidentiality (save as may be necessary for purposes of discussing and sharing content within your team, with key HR, Advisory or Legal contacts and your relevant reporting line up to and including CCO) and adhere to relevant privacy, GDPR (or equivalent) laws and internal procedures.

In all your activities you will ensure that the legal entity integrity of EMEA operations including that of MUFG Bank and MUFG Securities EMEA plc (MUS) is respected, escalating to the Head of CA&, the Head of Core Compliance or CCO if you identify any actual or perceived conflicts of interest between them.

Your core responsibilities will be performed in relation to the Bank and MUS but also providing services to the EMEA based MUFG Bank branches and subsidiaries and MUS and its affiliates.

All references here to
the firm refer to all such entities and branches.

DUTIES AND RESPONSIBILITIES
**MUS / MUFG Bank

General**As a member of the CA&T Dept and the Communications Surveillance team, you will provide the following services:
Reporting to your line Manager, you will conduct and support the delivery of a communications surveillance function supporting EMEA operations, where appropriate, escalate issues on a timely basis and collaborate with your peers and other Compliance teams to support and facilitate any targeted reviews, surveillance and investigations work performed by the other teams.
Carry out surveillance and monitoring work with the aim of identifying any attempt by clients of members of staff of the firm to commit financial crime, market abuse, manipulation, or other breach of rules or regulations.
Complete the regular and adhoc tasks necessary to complete communications surveillance, testing and other work which makes up the department's risk based testing programme.
Carry out quality controls and assurance monitoring of the team's processes and practices to provide your line Manger and senior Compliance management with confidence that necessary tasks are being delivered accurately and satisfactorily.
Collaborate with other CA&T teams, Advisory and Legal on the