Vice President, Surveillance Strategy, Governance and Transformation

Location: City Of London

Vice President, Surveillance Strategy, Governance and Transformation page is loaded## Vice President, Surveillance Strategy, Governance and Transformation locations:
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-WDDiscover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000 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.
** OVERVIEW OF THE DEPARTMENT/SECTION
** The Core Compliance department at MUFG plays a critical role in safeguarding the integrity and reputation of the investment bank. It is responsible for ensuring that the firm operates within the framework of applicable laws, regulations, and internal policies.

Within Core Compliance, the EMEA Surveillance Department works closely with sales, trading and business units to identify and manage market abuse risks, executes a comprehensive trade and communication surveillance programme, and promotes a culture of ethical conduct and accountability.

Our Trade Surveillance coverage includes sales and trading activities across multiple asset classes and financial markets within our London Bank and Securities businesses and similar businesses in other EMEA countries. Communications Surveillance covers the full UK population and certain EMEA and other overseas operations which affect EMEA business.
** NUMBER OF DIRECT REPORTS
** None
* * MAIN PURPOSE OF

THE ROLE
** The Surveillance Strategy & Governance VP is a senior position who will play a fundamental role in executing the EMEA surveillance strategy, as defined by the EMEA Head of Surveillance and Senior Compliance Management.

This includes supporting the strategic direction and ensuring the effectiveness of the EMEA surveillance programme. The individual will work closely with the EMEA Head of Surveillance in setting strategic priorities, managing the surveillance governance framework and ensuring the end-to-end completeness and adequacy of surveillance controls for trade surveillance across all asset classes, and for electronic and audio surveillance across all communication channels and monitored employees.

The successful candidate will have proven knowledge and experience in robust trade and communications surveillance frameworks, industry best practice and “what good looks like” and relevant regulatory expectation.
** KEY RESPONSIBILITIES
*** Support the EMEA Head of Surveillance in delivering the EMEA surveillance strategy and framework components and the wider Compliance Division’s objectives.
* Manage the surveillance governance framework, including escalation and reporting of management information, analysis and key risk metrics to various senior governance committees and forums across first and second line, and to local compliance management across EMEA.
* Participate in the end-to-end market conduct risk assessment process, ensuring global alignment of the risk assessment methodology and approach, technical interpretation of market abuse risks across the firm’s business and trading activities and the ongoing management of the surveillance book of work to ensure risks remain within risk appetite.
* Track and manage our EMEA surveillance inventory of controls, issues and actions in line with the MUFG operational risk management framework, ensuring completeness and effectiveness of controls, identifying areas for improvement and implementing remedial actions.
* Assist in the periodic review of surveillance procedures, systems and controls to determine whether they are up to date and effective to identify/ facilitate remedial action…