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Mitsubishi UFJ Financial Group, Inc. (MUFG):

MUFG is one of the worlds leading financial groups. Headquartered in Tokyo and with over 360 years of history, MUFG has a global network with over 2,100 locations in more than 50 markets. The Group has over 160,000 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 of 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 Bank, Ltd. is Japans premier bank, with a global network spanning more than 50 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide.

In Asia, MUFG has a presence across 20 markets Australia, Bangladesh, Cambodia, China, Hong Kong, Indonesia, India, South Korea, Laos, Malaysia, Mongolia, Myanmar, New Zealand, Pakistan, Philippines, Singapore, Sri Lanka, Taiwan, Thailand, and Vietnam.

It has also formed strategic partnerships with some of the most prominent banks in Southeast Asia, further augmenting its unrivalled network across the region VietinBank in Vietnam, Krungsri in Thailand, Security Bank in the Philippines, and Bank Danamon in Indonesia.

Description:

The health and safety of our employees and candidates are very important to us. Due to the current situation related to the Novel Coronavirus (2019-nCoV), were leveraging our digital capabilities to ensure we can continue to recruit top talent at the MUFG Group. As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have.

If youre looking for a career where you can make a real impression, join MUFG and discover how valued youll be.

Department Overview:

About MGS India:

- Established in 2020, MUFG Global Service (MGS) formerly known as MUFG Enterprise Solutions India Private Limited (MES India) is 100% subsidiary of MUFG Bank Ltd 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.
- The APAC Surveillance Department sits within the MUFG Core Compliance Division. Through an established trade and communications surveillance program, APAC Surveillance is responsible for preventing, monitoring, detecting and reporting suspicious trading activities, market and client misconduct, and other compliance breaches within MUFG APAC business environment. This department plays a critical role in safeguarding MUFG APAC assets, employees, clients and reputation by ensuring strict adherence to regulatory requirements, compliance standards and internal policies.
- Whilst the department is based in Singapore and Hong Kong, supported by its Centre of Excellence in Bangalore, its remit spans across the APAC region to deliver strategic surveillance solutions, including to MUFG offices in the region.

About the Role:

Position: Sr Analyst

Location: Bangalore, India

Legal Entity: MGS India

Job Profile:

Purpose of Role:

Surveillance in APAC Core Compliance is responsible for delivering a comprehensive and integrated

trade and communications surveillance program across MUFG Bank and MUFG UFJ Securities Asia

(MUSA) and affiliates related sales and trading operations.

You will be expected to contribute to the overall surveillance and monitoring framework by:

Main Responsibilities:

These responsibilities include, but are not limited to providing support in conducting, the items listed below as per SOPs and may be amended from time to time:

- Applying experience as a surveillance officer to review all automated and manual alerts generated by trade surveillance systems across all asset classes.
- Assisting the MUFG- APAC Level 2 team in surveillance-related tasks throughout the year, including the annual calibration review process on all trade surveillance alerts and controls.
- Working collaboratively with the Level 2 team, responding to all ad hoc queries and providing solutions in a timely manner.
- Tasked with reviewing all trade surveillance alerts within set timelines; documenting closure rationales and escalating to the Level 2 team if any concerns of suspicious activity arise.
- Giving support to the annual calibration review process which tests parameters and thresholds across all alerts in the automated surveillance systems. In collaboration with the Level 2 team,



contributing to the early analysis of results that will feed the overall effectiveness of the trade surveillance framework.
- As part of BAU work, notifying the Level 2 team of any anomalies or adverse trends in alert generation in order to facilitate the early identification of potential market abuse issues.
- Reporting all system issues to the Level 2 team in order to minimize operational risk.
- Proactively suggesting enhancements that could improve the overall efficiency of trade surveillance processes.
- Following regulatory requirements applicable to ensure that outsourcing activities meet all key regulatory requirements including data protection; confidentiality and adhering to standards and expectations applicable to outsourcing and offshoring arrangements.
- Assisting in the preparation of management information for periodic Compliance reports to senior management.
- Supporting in any UAT work that may be required as part of system development work.
- Having the ability to flexibility adjust priorities in accordance with Level 2 team guidance in order to meet important deadlines.
- Developing the ability to use automated communication surveillance systems to complement the review of trade surveillance alerts.
- Demonstrating a proficient understanding of financial markets, covering major asset classes such as equities, fixed income, foreign exchange, repos, and derivativesincluding but not limited to futures, swaps, options and structured products.
- Carry out surveillance with the aim of identifying any indicators of potential insider dealing, market manipulation, market misconduct and other breaches of relevant rules, regulations and MUFG policies committed by MUFG employees or MUFG clients.

Skills & Experience:

Education & professional qualifications:

- 5-8 years+ of experience in a Compliance Surveillance role or similar
- Knowledge of MAR regulatory requirements and being able to identify risks in relation to potential Market Abuse
- Basic to intermediate knowledge of investment banking products, asset classes and market operations obtained through surveillance or audit or first line or middle office operational roles
- Positive knowledge of the FMSB good practices for market abuse surveillance
- Good knowledge of Nasdaq Smarts, or similar trade surveillance systems with experience in alert management
- Good knowledge of Behavox, Global Relay, or similar communication surveillance systems
- Competent with using Bloomberg terminal and functionalities
- Competent with excel, trade booking systems and trade data
- FX, Equities and Fixed Income products knowledge including spot and FX derivatives
- Excellent Microsoft Office and Excel skills
- Bachelors Degree or above

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📌 Senior Analyst - Trade Surveillance (APAC) (Bengaluru)
🏢 MUFG Global Service
📍 Bengaluru