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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 largest 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. Behaving with integrity and responsibility, underpinned by a desire to build a culture which is fair, transparent, and honest, drives 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.
Please visit our website for more information - mufgemea.com.
The Financial Crimes Office for EMEA (FCO EMEA) in London is part of the Global Financial Crimes Division headquartered in New York. It works to ensure that our organisation conducts its business such that we protect our reputation, our business, and our clients within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective systems and controls to protect clients' assets and to mitigate the risk that MUFG might be used to further financial crime.
Purpose of Job: Responsible for leading financial crimes compliance testing activities, including execution of the EMEA Financial Crimes Compliance test plan in accordance with Global standards and providing local reporting oversight for the Global Unit systems and technology team in EMEA. This includes leading and managing a team, engaging with key first, second, and third line personnel across EMEA branches and offices - including the Regional Financial Crimes Compliance Head, coordinating with the Global Financial Crimes Compliance Testing (GFCCT) Global Unit from the Global Financial Crimes Division headquarters in New York, and engaging key stakeholders from Japan, as necessary.
Essential Functions: Responsible for supporting GFCCT Department as the lead member of the Department in EMEA. Manage the EMEA Regional Unit so that it can effectively evaluate the design and effectiveness of financial crimes-related controls, identify and assess risk and impact, and work closely with stakeholders to obtain corrective and mitigating actions, as necessary. The Director will:
Oversee and lead a team of financial crimes compliance testing professionals to perform complex effectiveness reviews and enterprise IT application(s) testing across all the EMEA offices.
Lead the build out of the GFCCT Regional Unit in the EMEA region in support the global framework for financial crimes compliance testing, including adherence to the Global Financial Crimes Compliance Testing Standard (Standard).
Assist the Global Unit in developing the Annual Testing Plan by providing country-/region-specific components.
Execute testing in accordance with Annual Testing Plan and the Standard.
Monitor developments, such as changes in the regulatory environment, which may necessitate ad hoc testing and inform the Global Unit.
Work with Regional Financial Crimes Compliance program leadership to identify focus areas for testing that will aid program and control enhancement.
Contribute to consolidated global reporting on testing activities.
Escalate testing concerns and exceptions requests to the Global Head of Financial Crimes Compliance Testing in a timely manner.
Track and manage compliance testing identified issues to completion, including validation of completion status and communicate with GFCCT and Issues Management in New York, as appropriate.
Manage team of Effectiveness Review professionals.
Coordinate efficient communication between various departments within EMEA and the GFCCT leadership team in the New York GFCD headquarters.
Manage other compliance reviews, projects, or related duties as required.
Work Experience Essential - Minimum of 10 years relevant experience Preferred - ACAMS or relevant professional qualification
Functional/Technical Skills and Knowledge requirements
Must have strong technical knowledge of all financial crimes (AML, Sanctions, and ABC) laws, regulations, and regulatory expectations in the EMEA region
Solid understanding of cross border payment standards and systems
Solid understanding of financial crimes systems, including transaction monitoring, KYC, and transaction filtering systems
Demonstrated ability to lead and guide the development and execution of a risk-based financial crimes compliance testing schedule
Ability to develop and adhere to testing processes and protocols, including test planning, script/procedure development, test execution, report preparation, issue management, and workpaper documentation
Ability to coach and guide compliance testing professionals
Maintain awareness of financial crimes compliance-related laws, regulations, guidelines, and industry best practices
Excellent problem solving skills to understand complex financial crimes control processes
Strong communication skills and ability to influence key stakeholders to gain corrective actions for risk and control issues identified through compliance testing
Strong ability to drive complex discussions with MUFG management and stakeholders across EMEA and with headquarters personnel in NY
Excellent judgment and analytical skills
Strong computer skills
Some international travel may be required
MUFG Bank (a member of MUFG, a global financial group) 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.
Internal Number: 5878871
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