AVP - Compliance Testing - Investment Banking

We are looking for AVP Compliance Testing(Bangalore location) for one of the leading financial group, headquartered in Tokyo.

Job Summary :

To contribute to the overall success of Compliance Testing and its objectives by delivering a risk based
programme of second line compliance for Company's EMEA region. The role includes support of both the' Global Head Offices' assurance programmes and EMEA based testing which may also include
opportunities to travel to offices located within EMEA. The role may involve ad-hoc investigations,
projects and thematic reviews.

Key Responsibilities :

For dual hat only

- In this role, you will be responsible for the Compliance Testing programme across MUFG's banking 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.

Job Responsibilities:

You will be expected to contribute to the overall Compliance Testing framework by:

- Conducting risk-based thematic and desk Tier 1 reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders

- Supporting the scoping of reviews

- Tracking, managing, and taking ownership of the remediation of compliance issues

- Providing support to both the Bank and Securities Head Offices

- Providing regular MI for management and Head Office

- Supporting Compliance Testing projects as directed

- Identifying compliance and conduct risk topics and communicating to the team, division and senior management on any industry updates.

- Coaching, supporting, and training junior members of the team

- Other ad-hoc tasks as requested by management

Direct Reports: None

- You will be expected to perform your responsibilities under the supervision of, and reporting to, a line manager. You will be expected to ensure that your line manager is fully aware at all times of your activities and to escalate any issues to the line manager or the Head of Department.