Vice President, Regional Compliance Monitoring Team Lead

Do you want your voice heard and your actions to count

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG) one of the worlds leading financial groups. Across the globe were 150000 colleagues striving to make a difference for every client organization and community we serve. We stand for our values building long-term relationships serving society and fostering shared and sustainable growth for a better world.

With a vision to be the worlds most trusted financial group its part of our culture to put people first listen to new and diverse ideas and collaborate toward greater innovation speed and agility. This means investing in talent technologies and tools that empower you to own your career.

Join MUFG where being inspired is expected and making a meaningful impact is rewarded.

The incumbent will be part of the Regional Assurance department within the Compliance Office for Asia and will report into the Head of Assurance. Primary responsibilities include managing the monitoring activities for the APAC region supporting other regional assurance reviews.

The incumbent will lead a team in Hong Kong and Bangalore in completing Compliance Monitoring & Testing activities including but not limited to conducting risk assessments planning and executing reviews and conducting issue analysis.

Strategic

• Own the Monitoring Activities for the Hong Kong Branch including planning and completing planned reviews.

• Support planning and execution of Regional Monitoring and Testing Reviews

• Undertake the role of Review Manager for reviews and supervise team in completing those reviews.

• Review the work of the team including documentation sufficiency/quality of fieldwork etc and ensure that they are well documented and using appropriate business and technical language.

• Provide regional oversight to the Compliance Monitoring teams in other APAC countries. This includes proactive outreach to evaluate needs of local teams conducting QC checks of completed reviews and/providing trainings where relevant.

• Evaluate internal controls design and effectiveness and where issues identified conduct root cause analysis and propose remedial actions.

• Report results to ACO Management and relevant stakeholder in an effective and timely basis.

• Build relationships with peers and stakeholders within the organization and effectively manage stakeholder relationships to a mutually accountable productive respectful and trusted level.

• Act as a leader and role model and continuously identify and pursue opportunities to improve self the team and the process/function

• Collaborate with relevant stakeholders across the region and globally as applicable on enhancement of Monitoring methodologies and sharing best practices and information

• Deploy use of data analytics and/or user-tools to achieve efficiencies in reviews

• To lead play a significant role and / or support compliance projects;

• Contribute to process improvements to increase efficiency and achieve cost-saving where possible

• Manage resource allocations

People

• Lead and supervise the team based in BLR

• Reviewing the work of the team including documentation sufficiency/quality of fieldwork etc and ensure that they are well documented and using appropriate business and technical language.

• Evaluate internal controls design and effectiveness and where issues identified conduct root cause analysis and propose remedial actions.

• Report results in an effective and timely basis leading to appropriate remedial action and on-going management of risk

• Act as a leader and role model and continuously improve self and team

• Staff Development to identify talent and work with them on their career development plans

Customer

• Build relationships with peers and stakeholders within the organization and effectively manage stakeholder relationships to a mutually accountable productive respectful and trusted level.

• Collaborate closely with global Testing and Monitoring colleagues to share knowledge best practices and drive consistency and enhancements

Financial

• Contribute to process improvements to increase efficiency and achieve cost-optimization

• Manage resource allocations

Job Requirements:

• Degree qualified

• Minimum 8 years of experience in Compliance Assurance or Internal Audit with at least 3 years in people management capacity

• Strong experience in Monitoring/Testing (Core Compliance)

• Proven leadership skills nurturing and developing their team members

• Able to initiate and deliver change

• Strong analytical skills to interpret data and draft reports

• Strong communication and presentation skills to influence using technical data and information to support line of reasoning

• Managing conduct of regional and local reviews

• Effective people management including mentoring coaching career development talent management of direct staff

• Ability to communicate effectively both verbal and written especially on issues to stakeholders (e.g. FLOD ACO Mgmt Local CO etc)

• Proficiency in one or more asian languages (e.g. Japanese Bahasa Chinese Hindi etc) is an advantage due to periodic need to read regulations and documents in these languages.

We regret to inform that only shortlisted applicants will be notified.

Mitsubishi UFJ Financial Group (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.