Associate, Quality Control

2 weeks ago

London, Greater London, United Kingdom MUFG - United Kingdom (BTMU) Full time

Do you want your voice heard and your actions to count?
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 160,000 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 world's most trusted financial group, it's 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.

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, MUFG has a global network with around 3,000 offices in more than 50 markets.

The Group has over 180,000 employees, and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.


As one of the top financial groups globally with a vision 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, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin 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.


The Client On-Boarding team is part of the Client Management Services, which is situated within the Corporate and Investment Banking Division of MUFG Bank.

However, this function acts as a centralized 1st line support team, providing support to Investment Banking and Corporate Banking in EMEA, Capital Markets and MUFG Securities both in London and in Amsterdam.


NUMBER OF DIRECT REPORTS
0

MAIN PURPOSE OF THE ROLE


This individual will be responsible for conducting Quality Control (QC) assessments across new on-boarding, Periodic Reviews and Event Driven Reviews - including KYC and Regulatory Classifications.

The Client On-Boarding Team covers a highly varied portfolio of Circa.

6,000 entities - ranging from simple listed customers, to much more complex structures, entities and product offerings, as such it will be key for this individual to fully understand all customers and to assist the lead to design effective Quality Control program - identifying and escalating risks appropriately.


This function is critical during both on-boarding and other reviews to ensure that the KYC process effectively mitigates the risks of Money Laundering, Bribery and Corruption, reputational and any other associate risks.

With this in mind, the successful individual needs to have good experience within KYC, and a demonstrable strong knowledge of the AML/KYC environment.


Key stakeholders in this role are; Operational KYC counterparts, QA Counterparts, Financial Crime (2nd line of Defence), Front Office RM/Trader/Account Officers and Audit.

Working closely with stakeholders to both standardize and clarify requirements and proactively identify future issues with procedures/process. Driving forward and influencing change is therefore essential in this role.


This function will also assist the lead in the development and roll out of a suite of training (related to requirements / roles and responsibilities) for new and existing individuals within the team and for those within the various front office functions, where required.

Working closely with individuals to improve the understanding of both the process and the underlying rationale for requirements.

KEY RESPONSIBILITIES

  • Ensure that thorough and effective Customer Due Diligence is completed, by conducting Quality Control Assessments on entities/structures across all business lines (predominantly the complex structure/entities/product offerings) including New Business, Periodic Reviews and Event Driven Reviews. Raising issues and ensuring appropriate actions are undertaken before KYC approval.
  • Identifying thematic issues within the On-Boarding process, highlighting to management and recommending appropriate actions.
  • Liaising with Quality Assurance on any issues identified within the QA process, to consider impact and where needed make relevant changes to the QC process. In addition, where remedial action is required liaising and notifying the operational leads accordingly.
  • Liaising with Financial Crime KYC team on any issues identified within the 2nd line checks / te

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