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    Associate, Quality Assurance - London, United Kingdom - MUFG

    MUFG
    MUFG London, United Kingdom

    1 week ago

    Default job background
    Full time
    Description

    Do you want your voice heard and your actions to count?

    Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th 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.

    MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

    As one of the top financial groups globally with a vison to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

    MUFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The group's operating companies include, but are not limited to, Bank of Tokyo-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.

    Please visit our website for more information -

    The Client On-Boarding team is part of the Client Management Services, which is situated within the Corporate and Investment Banking Division of MUFG Bank. However, this function acts as a centralized 1st line support team, providing support to Investment Banking and Corporate Banking in EMEA, Capital Markets and MUFG Securities both in London and in Amsterdam

    MAIN PURPOSE OF THE ROLE

    This individual will be responsible for conducting Quality Assurance (QA) assessments across new on-boarding, Periodic Reviews and Event Driven Reviews – including KYC and Regulatory Classifications. The Client On-Boarding Team covers a highly varied portfolio of Circa. 6,000 entities – ranging from simple listed customers, to much more complex structures, entities and product offerings, as an associate within the QA function this individual will need fully understanding all customer types and the global QA toolkit – identifying and escalating risks appropriately.

    This function provides a critical independent and retrospective sample review of all KYC processes conducted within the 1st Line of Defence; identifying weakness, thematic issues and recommending appropriate remedial and procedural actions. In addition, this area will provide key support to both the On-Boarding team and the wider Client Management Services function, including but not limited to; developing and delivering a suite of Management Information for key stakeholders, analysing/enriching and delivering the book of work within Client On-Boarding team.

    Key stakeholders in this role are; Operational KYC counterparts, QC Counterparts, Financial Crime (2nd line of Defence), Senior management, and Audit. This individual will be a key Subject Matter Expert within the QA team, supporting the QA lead to ensure the highest standards are maintained, processes are as efficient as possible and management information is effective. Driving forward and influencing change is therefore essential in this role.

    KEY RESPONSIBILITIES

    In this role, you will be responsible for Quality Assurance Assessments across MUFG's banking arm and securities business under a dual-hat arrangement. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you.

  • Performing QA reviews of KYC activity conducted across MUFG's Banking arm and securities business, to determine whether outputs meet the established quality objectives set out within the Global QA Standards. Initially this will be focused on work conducted within London, but as the function is established further EMEA offices will fall in scope of this QA function.
  • Analyse observations/ findings, perform de-briefing sessions to provide feedback and ensure enhancements in performance of Client Management Services function.
  • Deliver an effective independent and retrospective review of processes to ensure a thorough & effective Customer Due Diligence is being conducted.
  • Provide supporting and guidance to more junior members of the QA team, assisting in their overall development and growth.
  • Develop an effective suit of Management Information reports for key stakeholders, for related activities covered within the Client Management Services function.
  • Conducting analysis of the upcoming book of work within the Client On-Boarding team, enriching the data (through groupings and common alignment identifiers) and delivering output to the On-Boarding team and key stakeholders.
  • Ensuring that the results of the QA reviews are communicated to the appropriate parties, tracked and addressed in a timely manner.
  • Providing support to the QA Lead to identify and summarize review objectives, purpose and scope.
  • Deputizing for the QA Lead where required, on all 1st Line of Defence QA & MI related aspects.
  • Escalating errors and exceptions identified during QA reviews and the validation of action plans to address QA findings.
  • Managing the coordination with Regional Issues Management to monitor and track the resolution of QA identified issues and action plans.
  • Assist with the establishment of appropriate QA management routines and ensuring proper awareness of QA review results through the reporting of QA related Key Performance Indicators and Key Risk Indicators.
  • Monitoring regulatory developments, such as changes in the regulatory environment, which may impact the 1st Line of Defence QA function.
  • Keep abreast of developments in current trends and progress on money laundering, bribery and corruption and it prevention.

    • WORK EXPERIENCE

    Essential:

  • At least 5 years' experience in Anti Money Laundering, fraud and bribery or Financial Crime roles.
  • Experience with Investment Banking & the On-Boarding of Corporate entities.

    • Preferred:

  • Prior experience within Quality Assurance, Financial Crime Audit or equivalent roles.
  • Relevant qualifications in Anti Money Laundering, fraud and bribery.

    • SKILLS AND EXPERIENCE

    Functional / Technical Competencies:

    Essential

  • Awareness of UK & European Anti-Money Laundering regulations.
  • Knowledge of various corporate structures.
  • Able to communicate effectively to key stakeholders at all levels.
  • Attention to detail is essential.
  • Ability to effectively utilize Microsoft Office (particularly word & excel).

    • Education / Qualifications:

    Essential

  • Degree Level or relevant industry experience.
  • Relevant qualifications in Anti Money Laundering, fraud and bribery or Financial Crime roles.

    • PERSONAL REQUIREMENTS

  • Excellent communication skills
  • Results driven, with a strong sense of accountability
  • A proactive, motivated approach.
  • The ability to operate with urgency and prioritise work accordingly
  • Strong decision-making skills, the ability to demonstrate sound judgement and confidence to hold de-brief sessions independently.
  • A structured and logical approach to work.
  • Strong problem-solving skills.
  • A creative and innovative approach to work.
  • Excellent interpersonal skills.
  • The ability to manage large workloads and tight deadlines.
  • Excellent attention to detail and accuracy.
  • A calm approach, with the ability to perform well in a pressurised environment.
  • Strong numerical skills.
  • Excellent Microsoft Office skills.
  • A strategic approach, with the ability to lead and motivate more junior members of the team.

    • We are open to considering flexible working requests in line with organisational requirements.

    MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

    We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.

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