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Reporting into the Financial Crime Compliance Department Head (DH), person holding this position is expected to engage with global and regional financial crime compliance teams, first-line stakeholders, industry peers and other compliance units and teams to provide expert solutions on implementation of MUFG Global Financial Crime Standards and Policies, Indian KYC/AML Laws, regulations and financial-crime escalations, projects and work streams, with a focus on AML risks presented by various client segments, products and processes. Act as the primary liaison and manager of both internal and external stakeholder relationships. Ensure local compliance program is executed, in accordance with the Global Financial Crime Compliance Program. Manage regulatory inspection management / interactions & internal audits.
Section 2: Primary Responsibilities
Categories
Weighting
Strategic
Participate in the design, development, delivery and maintenance of best-in-class Financial Crimes programs, policies, practices and systems. Actively manage project plans and help ensure they meet project objectives in agreed project milestones. Lead in the preparation of all monitoring and reporting activities across program/project. Assist Head of FCC in promoting and managing the culture and practice of Compliance within regulatory requirements and ethical standards consistent with supporting Group’s strategic direction and growth aspirations.
Financial
N/A
Customer
Develop and maintain strong stakeholder management with key stakeholders both within the Bank and externally. Work in partnership with various Departments to ensure compliance with local regulations. Support the DH to facilitate setting up an in-house compliance service that effectively supports business areas in their duty to comply with relevant laws and regulations and internal procedures. Support the DH to provide pro-active and consultative advisory service to business on compliance related issues for the related areas. Maintain good and professional relations with RBI & other Statutory or Regulatory authorities, either during Inspection or BAU process.
People
Drive program enhancements by working collaboratively with all members of the program.
Other/ Control
Advise MUFG India Businesses on all KYC/AML related matters. Support other Compliance India colleagues in evaluation of compliance risks and related business controls. Interface with other Compliance India colleagues to deliver appropriate compliance testing and learning coverage for the businesses. Manage regulatory inspections, thematic / interactions & internal audits and responses and follow-ups. Identify and articulate metrics that support the financial crimes compliance program. Act as liaison for senior business leaders in support of the broader compliance program. Coordinate with Risk, Audit and HR Departments to implement strong compliance culture. Develop and deliver ad-hoc live training sessions / programs as needed. Review relevant rules, regulations, guidelines and circulars, as may be applicable, with a view to develop subject matter expert (SME) level knowledge especially in AML/KYC & General Banking matters. Ensure that up-to-date knowledge is maintained on industry trends, products, relevant laws and regulations. Conduct reviews and investigations, as may be directed by DH or CCO. Ensure timely and accurate reporting is made to HO or Regional Stakeholders. Support the DH/CCO towards bringing in improvement/efficiency in Compliance India activities. Assist HO in various projects undertaken and ensuring the timely effectiveness of responsibilities assigned. Complete administrative duties including but not limited to the filing/storage of documentation, taking meetings of minutes and the secure filing of compliance related documents. Develop recommendations for continuous improvement and support implementation. Adhere to all company policies as well as guidelines. Perform any other assignment or role, as may be directed by Compliance Management staff, in order to fulfill the Bank’s Compliance Program
MUFG Bank Ltd & MUFG Securities Asia Limited (collectively referred to as “MUFG”) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.
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