Manager - E-Communications and Trade Surveillance

About Us: MUFG Bank, Ltd. is Japans premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Banks parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the worlds leading financial groups. Headquartered in Tokyo and with over 360 years of history, the Group has about 120,000 employees and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. The Group aims to be the worlds most trusted financial group through close collaboration among our operating companies and flexibly respond to all the financial needs of our customers, serving society, and fostering shared and sustainable growth for a better world. MUFGs shares trade on the Tokyo, Nagoya, and New York stock exchanges. MUFG Global Service Private Limited: Established in 2020, MUFG Global Service Private Limited (MGS) is 100% subsidiary of MUFG having offices in Bengaluru and Mumbai. MGS India has been set up as a Global Capability Centre / Centre of Excellence to provide support services across various functions such as IT, KYC/ AML, Credit, Operations etc. to MUFG Bank offices globally. MGS India has plans to significantly ramp-up its growth over the next 18-24 months while servicing MUFGs global network across Americas, EMEA and Asia Pacific About the Role: Position Title: Manager - E-Communications and Trade Surveillance Manager Corporate Title: AVP Reporting to: Director Core Compliance / Head of Compliance Testing Delivery Location: Bangalore Job Summary: This function covers incumbents who are responsible for ensuring that all of the firm's activities follow the necessary rules and regulations, and that the firm complies with legal/regulatory boundaries and jurisdictions. Day-to-day focus is on resolution of complex problems or transactions, where expertise is required to interpret against policies, guidelines, or processes. Role at this level usually has full ownership for one or more processes, reports, procedures, or products, and may also be considered analytical or procedural experts representing a unit or team on cross-function process or project deliverables. Principal functions and responsibilities: The general responsibilities for the E-Communications Surveillance Manager include the following: Manage all aspects of the electronic communications and trade surveillance monitoring program Building a team to conduct-communications reviews; managing a team (based in Dallas) and overseeing the performance and performing quality assurance of them and any other person(s) assigned to perform communication surveillance Working with Technology and Third-Party Vendor to incorporate electronic communication channels into monitoring tool; tune the scenarios from which alerts are derived, troubleshooting any issues, and moving towards achieving goals Conducting reviews of written e-communications alerts for potential violations of firm policies or applicable rules and regulations, escalating to the appropriate department when necessary, and closing alerts with accurate, complete, and organized notes; listening to voice communications and doing the same Establishing and maintaining written procedures and governance processes around the E- Communications Surveillance Program Driving the enhancement and improvement of the program from both an effectiveness and efficiency perspective Working with line of business supervisors, first line of defense, employee, and compliance managers to roll-out monitoring tool Conducting deep dive Investigations of potential issues when necessary Keeping up-to-date with regulatory changes, internal policy updates, and disciplinary actions to determine that the monitoring system incorporates up-to-date search techniques, rules, lexicons and other attributes Planning enhancements with Third-Party Vendor to incorporate other statistical methods, machine learning, and artificial intelligence in the monitoring tool Preparing metrics to report monitoring results to senior management, including identifying potential trends or themes that may warrant further consideration or action Experience and skills required: Bachelors degree 5-8 years experience in compliance. At least 1 year of program management experience in trade or communication monitoring in the financial services industry, preferably with a broker-dealer or bank Previous experience with Behavox or similar monitoring tool a strong plus Experience in e-communications monitoring system implementation or system enhancement a strong plus Series 7 or Securities Industry Essentials (SEI) exam a plus Skills and Attributes The ideal candidate will demonstrate the following skills and attributes: Excellent written and verbal communication skills Attention to detail; excellent organizational skills Excellent analytical skills Ability to exercise sound judgment and escalate issues appropriately Strong project management skills with the ability to multi-task and manage competing priorities Ability to establish and maintain strong relationships across multiple departments Team player and ability to work collaboratively High degree of familiarity and comfort in working with complex IT systems and processes, and operating in a technical environment Native-level proficiency in the English language, both verbally and in writing is required. Fluency in Japanese and/or Portuguese is a strong plus Proficiency with Microsoft Office products (Word, Excel, PowerPoint) This position description reflects Managements efforts to accurately document key job content. It is intended as a broad summary and the employee may be responsible to perform duties not reflected herein. The Bank does not guaranty its accuracy and it is subject to change at any time with or without notice. This position description does not alter the employment-at-will relationship that exists between the Bank and the employee, nor does it create a contract of employment between the Bank and any employee of any duration.

Location: bangalore, IN

Posted Date: 5/13/2025