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- Tasks: Lead compliance testing and monitoring to ensure regulatory adherence and risk management.
- Company: Join MUFG, a top global financial group dedicated to making a positive impact.
- Benefits: Enjoy flexible working options and a culture that values diversity and inclusion.
- Why this job: Make your voice heard while contributing to a trusted financial institution's growth and integrity.
- Qualifications: Experience in compliance, risk management, or financial services is essential.
- Other info: Opportunities for personal and professional development are encouraged.
The predicted salary is between 43200 - 72000 £ per year.
Vice President, Compliance Manager – Testing & Quality Assurance
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Vice President, Compliance Manager – Testing & Quality Assurance
Join to apply for the Vice President, Compliance Manager – Testing & Quality Assurance role at MUFG
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 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.
As a member of the Compliance Department, you will:
- Support the Head of Compliance Testing Delivery in delivering the Testing & Monitoring Annual Plans.
- Deliver risk-based assurance to the firm’s senior management and the Group through independent challenge and good quality reporting.
- Ensure key testing and monitoring processes are run efficiently to deliver quality and reliable information, to support MUFG’s business growth and control procedures.
- Manage, coach and develop the work of CTD team members.
- Liaise with regulators, auditors and Compliance QA to promote a good understanding of the firm’s controls and governance.
In all your activities ensure that the legal entity integrity of both MUFG Bank and MUFG Securities EMEA plc (including branches and affiliates where appropriate) is respected, escalating to the senior management as appropriate if you identify any actual or perceived conflicts of interest between them.
DUTIES AND RESPONSIBILITIES
MUS / MUFG Bank
Provide the following services to the department:
- Carry out testing and monitoring work with the aim of identifying any attempt by clients of members of staff of the firm to commit financial crime, market abuse, manipulation, or other breach of rules or regulations.
- Complete the regular and ad-hoc tasks necessary to complete the reviews, monitoring, testing and other work which makes up the department’s risk based testing programme.
- Carry out quality controls over processes and support the work of the Quality Assurance team which is responsible for checking the Compliance department’s processes and practices to provide senior Compliance management with confidence that necessary tasks are being delivered satisfactorily.
- Participate in departmental compliance and conduct risk assessment exercises to help direct the work of the department.
Role and Responsibilities- Technical
- Act as an SME to lead, manage and own the delivery of technically complex, well-articulated and comprehensive risk-based thematic and desk reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders
- Play a leading role in the design and delivery of risk based testing.
- Supervise the work of staff on the team including coaching, supporting and training junior members of the team and direct line management of a small team.
- Deliver high quality technical analysis of regulatory risks and requirements applicable to specific activities and embed these into the operations of Testing and support senior management in the identification and mitigation of these risks.
- Assist Testing management in the creation and delivery of the department’s Assurance Plan by identifying key areas of focus for reviews
- Assist in the periodic review of relevant procedures, systems and controls to determine whether they are up to date and effective to identify/ facilitate remedial action where necessary.
- Provide regular MI for periodic Compliance reports to senior management.
- Act as a Compliance SME and/or support staff participation in Compliance technology or regulatory implementation projects, staff training, procedures and administration tasks as necessary.
- Demonstrate and share knowledge of UK and EU regulatory developments and provide practical and immediate interpretation of regulations in the context of the firm’s business activities.
- Participate in departmental compliance and conduct risk assessment exercises
- Liaise with stakeholders to address substantive matters arising and escalation and presentation of significant issues to senior management where necessary. Develop strong and lasting relationships via interactions with key stakeholders whether in the front office or in support functions.
- Track, manage and take ownership of the remediation of compliance & conduct issues by working with relevant business stakeholders
- Act as an independent challenge to the front office, escalating any concerns about breaches or law, regulation or internal policies.
- Support delivery of the wider Compliance Division’s objectives.
- Take ownership and lead on managing own career, personal and professional development. Identify opportunities and platforms to enhance Compliance, Regulatory and Financial Industry knowledge and experience to continue to improve product and services knowledge across MUFG which can be reflected in reviews, communications and interactions with stakeholders.
We are open to considering flexible working requests in line with organisational requirements.
MUFG 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.
We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.
Seniority level
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Seniority level
Mid-Senior level
Employment type
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Employment type
Full-time
Job function
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Job function
Finance
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Industries
Financial Services, Investment Banking, and Banking
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Vice President, Compliance Manager - Testing & Quality Assurance employer: MUFG
Contact Detail:
MUFG Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Vice President, Compliance Manager - Testing & Quality Assurance
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events, webinars, or local meetups to connect with individuals who can provide insights into MUFG's culture and expectations for the Vice President role.
✨Tip Number 2
Familiarise yourself with the latest UK and EU regulatory developments. Being well-versed in current regulations will not only enhance your knowledge but also demonstrate your commitment to staying updated in this fast-paced environment.
✨Tip Number 3
Prepare to discuss your experience in managing teams and delivering risk-based testing. Highlight specific examples where you successfully led projects or initiatives that improved compliance processes or outcomes.
✨Tip Number 4
Showcase your ability to build strong relationships with stakeholders. Be ready to share examples of how you've effectively communicated complex compliance issues to non-compliance professionals, ensuring clarity and understanding.
We think you need these skills to ace Vice President, Compliance Manager - Testing & Quality Assurance
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Vice President, Compliance Manager position. Tailor your application to highlight relevant experience in compliance, testing, and quality assurance.
Highlight Relevant Experience: In your CV and cover letter, emphasise your previous roles that align with the duties outlined in the job description. Focus on your experience in managing teams, conducting risk assessments, and liaising with regulators.
Showcase Leadership Skills: As this is a senior role, it's crucial to demonstrate your leadership capabilities. Include examples of how you've coached or developed team members, managed projects, or led initiatives that improved compliance processes.
Craft a Compelling Cover Letter: Your cover letter should not only reiterate your CV but also convey your passion for compliance and your understanding of MUFG's values. Make it personal by explaining why you want to work for MUFG and how you can contribute to their mission.
How to prepare for a job interview at MUFG
✨Understand the Compliance Landscape
Before your interview, make sure you have a solid grasp of the current compliance regulations and challenges in the financial sector. Familiarise yourself with UK and EU regulatory developments, as this knowledge will demonstrate your expertise and readiness for the role.
✨Showcase Your Leadership Skills
As a Vice President, you'll be expected to manage and develop a team. Prepare examples of how you've successfully led teams in the past, focusing on coaching, mentoring, and delivering results. Highlight your ability to foster collaboration and innovation within your team.
✨Prepare for Technical Questions
Expect to face technical questions related to risk-based testing and quality assurance processes. Brush up on your knowledge of compliance testing methodologies and be ready to discuss how you would approach complex compliance issues in a practical context.
✨Demonstrate Strong Stakeholder Management
The role requires liaising with various stakeholders, including regulators and senior management. Be prepared to discuss your experience in building relationships and managing expectations, as well as how you handle conflicts or challenges that arise during these interactions.
