Compliance Surveillance Expert

2 weeks ago

London, Greater London, United Kingdom MUFG Bank, Ltd. Full time
Job Title: Vice President, Compliance Surveillance

MUFG Bank, Ltd. is seeking a highly skilled and experienced professional to join our Compliance Surveillance team as a Vice President. This role will be responsible for delivering projects related to Communications and Trade Surveillance across bank and securities, ensuring that the risks related to the relevant activities are covered and that adequate UAT is completed to ensure fully functional system upon go live.

Key Responsibilities:
  • Applying experience as a Surveillance SME to deliver Surveillance related projects.
  • Providing SME knowledge on products traded and how the risks associated with the trading activity/communications may be mitigated through the vendor tools.
  • Coordinating and taking part in UAT to ensure that the specifications provided by the vendor is sufficient to cover the risks and that the output is as expected.
  • Liaising with the project PM, the vendor and other Divisions to progress on key project deliverables where necessary.
Requirements:
  • Extensive experience in a Compliance Surveillance role or delivering projects in relation to Surveillance.
  • Knowledge of MAR and conduct regulatory requirements and being able to identify risks in relation to potential Market Abuse.
  • Experience in UAT, communications with external vendors and documentation of the project outcomes.
  • Excellent Microsoft Office skills and Advanced Excel skills.
  • Strong understanding of Banking risks and regulations.
  • Effective time management skills, with the ability to produce high quality output and meet tight deadlines.
  • Problem solving, analysis and reporting skills.
Personal Requirements:
  • Meet tight deadlines and adjust your priorities to meet urgent deadlines.

MUFG Bank, Ltd. is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

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