AVP / Manager - Compliance

AVP / Manager - Compliance Control Room

About the Role:

Position Title: Assistant Vice President / Manager

Corporate Title: Assistant Vice President

Reporting to: Vice President – Core Compliance

Location: Bengaluru

Job Profile

Position details:

This role is within the Asia Compliance Control Room (CCR) which forms part of the Regional Advisory and Control Room Department in the Compliance Office for Asia (ACO). The role reports to the Regional Head of the Control Room and works with the Asia CCR Team as well as the Global CCR Team which consist of 3 independent CCRs located at MUFG Bank: London, NYC, and Tokyo. The CCR administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The position will be responsible for managing Material Non-Public Information, Transactional Conflicts of Interests and implementing information controls.

Roles and Responsibilities:

• Information controls-related activities, such as insider registers management, deal updates, and outsourcing transactional conflicts checks
• Maintain central records within the Compliance Control Room (e.g., Deal Register, Conflicts of Interest Database, Watchlist.
• To assist in the preparation of monthly Management Information and other Compliance reports to the stakeholders
• Support general compliance activities and other duties, including special projects as assigned
• Trigger periodic reviews pertaining to CCR processes and provide follow-up support
• Provide timely administrative and logistics support to team
• Liaise with relevant divisions/units for development and enhancement of internal Compliance Control Room systems (e.g., the Global Compliance Control Room System, Regional Compliance System, etc.)
• Provide close support to regional branches/units’ compliance in all CCR-related matters i.e.: insider review support, customization of CCR reports etc.
• Execute projects as assigned by supervisor and/or Compliance senior management
• Seek opportunities to enhance efficiencies and streamline processes within teams

Job Requirements:

Essential:

• Good presentation and stakeholder engagement skills
• Prior experience in handling large volume scale projects
• Shows a high level of integrity and moral principles
• Good written and verbal communication skills
• Pasion to lead change and drive towards achieving goals
• Good knowledge of conflicts management and products
• Proficient in Microsoft Office applications (Excel, PowerPoint)
• Attention to details, able to multi-task under tight timeline and with minimal supervision without comprising accuracy and quality.

Education / Qualifications:

• Degree Qualified and / or relevant experience.

Length & Type of Experience:

• Minimum 2-3 years of Conflicts Advisory and/or Control Room experience