Associate, Client Onboarding

1 week ago

London, Greater London, United Kingdom MUFG 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.

OVERVIEW OF THE DEPARTMENT/SECTION
MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups.

Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia.

The group has over 150,000 employees, offering 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 vison 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.

MUFG's shares trade on the Tokyo, Nagoya, and New York (

NYSE:
MTU) stock exchanges.

The group's operating companies include, but are not limited to, Bank of Tokyo-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.


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 Assurance (QA) 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 an associate within the QA function this individual will need fully understanding all customer types and the global QA toolkit - identifying and escalating risks appropriately.


This function provides a critical independent and retrospective sample review of all KYC processes conducted within the 1st Line of Defense; identifying weakness, thematic issues and recommending appropriate remedial and procedural actions.

In addition, this area will provide key support to both the On-Boarding team and the wider Client Management Services function, including but not limited to; developing and delivering a suite of Management Information for key stakeholders, analyzing/enriching and delivering the book of work within Client On-Boarding team.


Key stakeholders in this role are; Operational KYC counterparts, QC Counterparts, Financial Crime (2nd line of Defense), Senior management, and Audit.

This individual will be a key Subject Matter Expert within the QA team, supporting the QA lead to ensure the highest standards are maintained, processes are as efficient as possible and management information is effective.

Driving forward and influencing change is therefore essential in this role.

KEY RESPONSIBILITIES

  • Performing QA reviews of KYC activity conducted across MUFG's Banking arm and securities business, to determine whether outputs meet the established quality objectives set out within the Global QA Standards. Initially this will be focused on work conducted within London, but as the function is established further EMEA offices will fall in scope of this QA function.
  • Analyse observations/ findings, perform debriefing sessions to provide feedback and ensure enhancements in performance of Client Management Services function.
  • Deliver an effective independent

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