GFCD - Anti-Bribery & Corruption Advisory - Analyst (34390)

Mitsubishi UFJ Securities (USA) ,
London, Greater London
More Details

Overview

Job Description

We are MUFG. 360 years of heritage. A world-class set of businesses. And more than 180,000 employees in 50 markets. It's no surprise that MUFG has grown to become one of the top five banks in the world. Our services include commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. MUFG offers stability in an ever-changing market, providing services to high-profile clients worldwide. Our vision? To become the world's most trusted financial group. You'll help us achieve it. Overview of the Department/Section The Financial Crimes Office for EMEA (FCOE) in London is part of the Global Financial Crimes Division (GFCD) headquartered in New York. It works to ensure that our organisation conducts its business such that we protect our reputation, our business, and our clients within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective systems and controls to protect clients' assets and to mitigate the risk that MUFG might be used to further financial crime. Main Purpose of the Role The Anti Bribery & Corruption (ABC) team is a separate function within the Financial Crimes Office for EMEA, covering Europe, the Middle East, and Africa. The ABC team is responsible for managing the ABC framework: implementing the Global ABC standards within EMEA, designing appropriate controls to ensure compliance with these standards and the global ABC policy, and providing an advisory function related to ABC queries. This role supports the Head of the ABC team and promotes the MUFG ABC EMEA agenda from London as EMEA HQ. The role includes supporting the ABC function. Key Responsibilities In this role, you will be responsible for working on ABC initiatives across MUFG's banking arm and securities business under a dual-hat arrangement. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you. You are responsible for: * Delivering the ABC agenda in EMEA under direction of the ABC Director in EMEA. * Supporting the implementation of the Global ABC Standards and controls within relevant areas of Bank and Securities operations to manage the ABC control framework, and developing appropriate quality assurance mechanisms through liaison with the Compliance Testing team and other stakeholders in USA and London. * Facilitating ABC queries from EMEA compliance officers and business lines, supporting ABC Compliance team members and providing relevant technical advice to the business and other stakeholders, including review of contractual clauses. * Managing and tracking implementation of ABC controls, including as part of review of transactions, client KYC requirements, gifts and business hospitality requests, High-Risk Referred Candidate employment offers, and charitable contributions * Monitoring relevant legal and regulatory developments and ABC related news, assisting in the design of appropriate controls to ensure compliance and manage bribery risk * Supporting the EMEA representative to the Global ABC Working Group, responsible for the development of ABC policies and procedures and maintaining these documents * Working with the ABC Director to contribute to the continuous enhancement of the ABC framework through current state risk and control assessment and identifying improvements * Supporting and delivering regional ABC training and awareness initiatives * Proactively collaborating with local Compliance and key regional control partners, including Legal, HR/Recruiting, and Finance to identify and mitigate ABC risks and implement appropriate control procedures and processes * Supporting management of ABC investigations and related projects * Coordinating effective and uniform responses to business line financial crime issues, including consultation with FCOE Sanctions and AML advisory teams Work Experience Essential: * More than 2 years relevant experience in a financial services firm, regulatory agency, or law firm Preferred: * Experience with complex, multi-jurisdictional ABC investigations * Project management involving multiple stakeholders Skills and Experience Functional / Technical Competencies: Essential * Working knowledge of international ABC laws (including the UK Bribery Act 2010, US Foreign Corrupt Practices Act (FCPA)) and ABC controls frameworks * Practical understanding of banking products and markets, financial crime disciplines (including AML, KYC, and Sanctions), risk management, compliance, and controls Preferred: * Processing and analysis of ABC-related controls functions for financial services firms * Awareness and understanding of the interrelationships between financial crime disciplines Education / Qualifications: Essential: * Bachelor's degree, or equivalent experience Preferred: * Compliance certifications (e.g., ICA certificates, CAMS, etc.) Personal Requireme

People also viewed