Job Description

About MUFG Global Service (MGS)
MUFG Bank, Ltd. is Japan's premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank's parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world's leading financial groups. Headquartered in Tokyo and with over 360 years of history, the Group has about 120,000 employees and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.The Group aims to be the world's most trusted financial group through close collaboration among our operating companies and flexibly respond to all the financial needs of our customers, serving society, and fostering shared and sustainable growth for a better world. MUFG's shares trade on the Tokyo, Nagoya, and New York stock exchanges.For more informat

AboutUs
Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the worlds leading financial groups. Headquartered in Tokyo and with over 360 years of history, MUFG has a global network with over 2,700 locationsinmorethan50markets.TheGrouphasover180,000employeesandoffersservicesincluding commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.
The Group aims to be the worlds most trusted financial group through close collaboration among our operatingcompaniesandflexiblyrespondtoallofthefinancialneedsofourcustomers,servingsociety, and fostering shared and sustainable growth for a better world. MUFGs shares trade on the Tokyo, Nagoya, and New York stock exchanges.
MUFG Bank, Ltd. is Japans premier bank, with a global network spanning more than 50 markets. OutsideofJapan,thebankoffersanextensivescopeofcommercialandinvestmentbankingproducts and services to businesses, governments, and individuals worldwide.
InAsia,MUFGhasapresenceacross20marketsAustralia,Bangladesh,Cambodia,China,Hong Kong, Indonesia, India, South Korea, Laos, Malaysia, Mongolia, Myanmar, New Zealand, Pakistan, Philippines, Singapore, Sri Lanka, Taiwan, Thailand and Vietnam.
It has also formed strategic partnerships with some of the most prominent banks in Southeast Asia, furtheraugmentingitsunrivallednetworkacrosstheregionVietinBankinVietnam,KrungsriinThailand, Security Bank in the Philippines and Bank Danamon in Indonesia.
Formoreinformation,visithttps://
MUFGEnterpriseSolutionsIndiaPrivate Limited
Established in 2020, MUFG Enterprise Solutions India Private Limited (MES India) is 100% subsidiary of MUFGBankLtdhavingofficesinBengaluruandMumbai.MESIndiahasbeensetupasaGlobalCapability Centre/Centreof Excellencetoprovidesupportservicesacrossvariousfunctions suchasIT,KYC/AML, Credit, Operations, Core Compliance etc. to MUFG Bank offices globally. With a current headcount of around 250, MES India has plans to significantly ramp-up its growth over the next 18-24 months while servicing MUFGs global network across Americas, EMEA and Asia Pacific.
AbouttheRole
PositionTitle: SeniorAnalyst-E-CommunicationsandTradeSurveillanceManager
CorporateTitle:Analyst
Reporting to: DirectorCoreCompliance/HeadofComplianceTestingDelivery Location: Bangalore
JobSummary:
This function covers incumbents who are responsible for ensuring that all of the firm's activities follow the necessary rules and regulations, and that the firm complies with legal/regulatory boundaries and jurisdictions. Day-to-day focus is on resolution of complex problems or transactions, where expertise is requiredtointerpretagainstpolicies,guidelines,orprocesses.Roleatthislevelusuallyhasfullownership for one or more processes, reports, procedures, or products, and may also be considered analytical or procedural experts representing a unit or team on cross-function process or project deliverables.
Principalfunctionsandresponsibilities:
ThegeneralresponsibilitiesfortheSurveillanceAnalystincludethefollowing:

• Working with various trade surveillance and electronic communication monitoring automated tools, conduct reviews of alerts for potential violations of firm policies or applicable rules and regulations, escalating to the appropriate department when necessary, and closing alerts with accurate,complete,andorganizednotes;listeningtovoicecommunicationsanddoingthesame
• Adheretowrittenproceduresforeachofthereviewstheyreresponsiblefor;modifying procedures and submitting them for approval when needed
• Drivingtheenhancementandimprovementoftheprogramfrombothaneffectivenessand efficiency perspective
• ConductingdeepdiveInvestigationsofpotentialissueswhennecessary
• Preparingmetricstoreportmonitoringresultstoseniormanagement,includingidentifying potential trends or themes that may warrant further consideration or action
• Keepingup-to-datewithregulatorychanges,internalpolicyupdates,anddisciplinaryactionsto determine that the monitoring system incorporates up-to-date techniques and addresses advanced market abuses

Experienceandskillsrequired:

• Bachelorsdegree
• 3-5yearsexperienceincompliance.
• Atleast6monthsofexperienceinbankingorbroker-dealercompliance
• Previousexperiencewithanymonitoringtoolastrong plus
• Series7orSecuritiesIndustryEssentials(SEI)examaplus Skills and Attributes

Theidealcandidatewilldemonstratethefollowingskillsandattributes:

• Excellentwrittenandverbalcommunicationskills
• Attentiontodetail;excellentorganizationalskills
• Excellentanalyticalskills
• Abilitytoexercisesoundjudgmentandescalateissuesappropriately
• Abilitytoestablishandmaintainstrongrelationshipsacrossmultipledepartments
• Teamplayerandabilitytoworkcollaboratively
• Native-levelproficiencyintheEnglishlanguage,bothverballyandinwritingisrequired.Fluency in Japanese and/or Portuguese is a plus
• ProficiencywithMicrosoftOfficeproducts(Word,Excel,PowerPoint)

This position description reflects Managements efforts to accurately document key job content.It is intended as a broad summary and the employee may be responsible to perform duties not reflected herein.The Bank does not guaranty its accuracy and it is subject to change at any time with or without notice.Thispositiondescriptiondoesnotaltertheemployment-at-willrelationshipthatexistsbetweenthe Bank and the employee, nor does it create a contract of employment between the Bank and any employee of any duration.