Mufg
Financial Services
Manager–CoreComplianceTesting&Monitoring
Neural analysis suggests this role is
optimal for Senior candidates.
“Manager – Core Compliance Testing & Monitoring at Mufg. Skills: Compliance Testing, Risk Management, Internal Controls, Regulatory Adherence. Execute assigned Regional Testing and Monitoring activities. Lead walkthrough meetings and interviews”
Industry & Context.
Analytical skills; Problem-solving skills; Critical thinking skills
Ability to travel is required
What They're Looking For.
Must Have
Bachelor’s degree in Accountancy, Business, Law or Finance discipline, Minimum 10 years of experience in Compliance Assurance, Internal Audit, Controls testing, at least 5 should be in a Banking/Financial Institution, analytical and problem-solving skills, critical thinking skills, MS Office proficiency
Nice to Have
Relevant experience in reviewing Investment/Corporate Banking, and Global Markets business, Knowledge in banking related regulation/compliance subjects (e.g. MNPI, Conflicts, Customer Tax, Market Abuse, Market Conduct), Proficiency in one or more Asian languages (e.g. Japanese, Bahasa, Korean, Chinese etc), Data analytics skillsets (e.g., Alteryx and or other programming knowledge), Relevant compliance / accounting certifications (e.g. Chartered Accountants, CIA, CFA)
What You'll Do.
Execute assigned Regional Testing and Monitoring activities
Lead walkthrough meetings and interviews
Identify potential risks and controls
Evaluate design and operational effectiveness of internal controls
Identify control weaknesses
Lead formal discussions with business stakeholders
meaningful observations
Report findings to Business Units Management
Prepare workpapers and review reports
Document workpapers demonstrating work performed
Complete work on a timely basis
Deliver work products that meet objectives
Operate with an innovative and flexible mindset
Deploy use of data analytics and/or user-tools
How You'll Work.
Team & Collaboration
Engage with all levels of staff and stakeholders; Collaborate toward greater innovation, speed and agility
Communication Scope
Effective communication (both verbal and written); Negotiation; Presentation
Full Job Description
**Do you want your voice heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000 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. **About the Role** Position Title: Manager – Core Compliance Testing & Monitoring Corporate Title: Assistant Vice President Reporting to: APAC Head of Core Compliance Testing & Monitoring Location: Bangalore **Job Summary:** The incumbent will be an individual-contributor within the Regional Assurance (Monitoring & Testing) department within the Compliance Office for Asia and will report functionally into the APAC Head of Core Compliance Testing & Monitoring (based in Singapore). Primary responsibilities include evaluating control effectiveness of Units’ adherence to regulations & Bank Core Compliance Policies and Procedures (non-Financial Crimes). This includes, but not limited to conducting risk assessments, planning and executing reviews and conducting issue analysis. **Job Responsibilities:** * Responsible for executing assigned Regional Testing and Monitoring activities. * Lead walkthrough meetings and interviews with business stakeholders to develop understanding of business processes, risks and controls. * Identify potential risks and controls and assist in developing scope and work programs. * Evaluate design and operational effectiveness of inte
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