- Plan and conduct monitoring reviews to assess the effectiveness of controls over local units' adherence to regulations and banks' policies regarding core regulatory (non-financial crime) compliance topics.
- Conduct reconciliation of employee broker accounts in connection with Personal Account Dealing.
- Conduct reconciliation of employee attestations and declarations related to Outside Business Interests.
- Utilize data analytics and user tools to enhance efficiency in monitoring reviews.
- Prepare issue reports, outlining findings, root causes, and suggesting action plans for issue remediation.
- Validate Management Action Plans based on review findings.
- Engage in issue discussions with key stakeholders.
- Collaborate with stakeholders locally and globally to enhance monitoring methodologies.
- Maintain, design, and update Regional Monitoring Scripts.
- Identify and escalate key risks or systemic trends and red flags.
- Consult relevant subject-matter experts closely.
- Support general compliance activities and other assigned duties, including special projects.
- Bachelor's degree in any discipline.
- 10-13 years of banking experience, including 3-5 years of relevant experience in internal control testing.
- Proficient understanding of Process, Risk, and Controls concepts.
- Strong analytical skills for interpreting data and deriving conclusions.
- Ability to articulate issues, root causes, and recommend solutions effectively.
- Excellent interpersonal skills for engaging with executives at all levels.
- Familiarity with banking products and APAC banking regulations compliance is highly desirable.
- Proficiency in data analytics tools like Alteryx, or other programming knowledge, is highly desirable.
- Possession of relevant compliance or accounting certifications is a plus.
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Assistant Vice President Monitoring - Bengaluru, India - MUFG Global Service (MGS)
Description
Job Summary:
Responsible for supporting the Regional Monitoring function by assessing the effectiveness of controls over Units' adherence to regulations and Banks' policies related to Core Regulatory (non-financial crime) compliance.