Assistant Vice President, Centre of Excellence - QA AML Lead Assistant Vice President, Centre of Excellence -  …

in London, England, United Kingdom
Permanent, Full time
Last application, 11 Jul 20
in London, England, United Kingdom
Permanent, Full time
Last application, 11 Jul 20
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.


In MUFG, we are committed to being the world’s most trusted financial group. As part of our commitment, in our Global Financial Crime Directorate (GFCD), we are consolidating and improving key elements of our global financial crime detection and prevention operations by creating a network of Centres of Excellence (CoEs).

Our CoEs will enable us to increase and enhance the effectiveness of our operational financial crime prevention and detection expertise and oversight, by consolidating and focusing the knowledge, capabilities, insight and experience of our people along with refined and improved processes, training and technologies.

We want to work with ambitious, energetic, service-focused people, who are dedicated to protecting our customers – and the wider global economy, while developing world-class anti-money laundering/transaction monitoring and know-your-customer skills and capabilities.




  • You will be supporting the CoE for our Financial Crime Operations team, delivering against our objectives for Europe, Middle East and Africa (EMEA). In this role you will be working within the CoE managing the Quality Assurance (QA) reviews across the Financial Crimes Compliance Anti-Money Laundering/Transaction Monitoring (AML) processes in EMEA.
  • As a Lead Assistant Vice President, you will manage a team that contributes to the operation of the financial crime compliance framework.  Thus, your responsibilities and accountabilities include, but are not limited to, overseeing the QA AML team in a “business as usual” environment to mitigate the financial crime risks. 



  • Managing a team of Financial Crimes Compliance process QA reviewers supporting/overseeing and/or performing CoE QA reviews of anti-financial crime activity in MUFG branches in the EMEA Region, to determine whether Financial Crimes Compliance Control process outputs meet the established quality objectives set out within the Global QA Standards.
  • Managing the allocation of roles and responsibilities among AML QA Reviewers in accordance with the Global QA Standards.
  • Ensuring that the results of the QA reviews relating to Financial Crimes Compliance control processes are communicated to the appropriate parties and are addressed in a timely manner.
  • Overseeing the planning, designing, scoping, executing, escalating and reporting of QA Reviews as a part of the overall QA cycle in accordance with the Global QA Standards.
  • Completing complex AML cases such as SAR Reporting (Level 3 alerts) and performing Quality Control of team output.
  • Assisting with the maintenance of written QA procedures for conducting QA reviews in accordance with the Global QA Standards.
  • Supporting the implementation of a coordinated, consistent and risk-based AML QA program.
  • Reviewing the development and maintenance of the Financial Crimes Compliance control processes to drive adherence to the Global QA Standards.
  • Overseeing the drive for central coordination, governance, and reporting, leveraging regional structures and best practices of GFCD.
  • Reviewing QA reports summarising the objectives and purpose, scope, QA review methods, limitations and a consolidation of the QA results for distribution to Senior Management within GFCD to provide an overview of the Financial Crime Compliance control process effectiveness and facilitating the periodic reporting to the appropriate regional governing bod(ies).
  • Escalating errors and exceptions identified during QA reviews in accordance with the GFCD Escalation and Issues Management Standard and the validation of action plans to address QA findings.
  • Managing the coordination with Regional Issues Management to monitor and track the resolution of QA identified issues and action plans.
  • Establishing appropriate QA management routines and ensuring proper awareness of QA review results through the reporting of QA related Key Performance Indicators and Key Risk Indicators.
  • Monitoring regulatory developments, such as changes in the regulatory environment, which may impact the CoE QA function.
  • Supporting general compliance activities and other duties, including special projects as assigned.



  • At least 5 years of experience within financial crimes area of a global bank, consulting firm or regulatory agency.
  • Experience in Financial Crime Compliance or Regulatory Compliance: Quality Control/Assurance Function; Testing Function and/or Internal/External Audit Function.
  • Minimum of 2 years’ experience in a Quality Control/Assurance; Compliance Testing/monitoring and/or Audit Function.
  • Experience of AML /Transaction Monitoring and the regulatory environment.


Functional / Technical Competencies:


  • Experience with managing stakeholder relationships within and outside of the local function/role.
  • Knowledge of a wide variety Financial Crimes Compliance laws and regulations;
  • Excellent judgement and analytical skills;
  • Experience in drafting, designing and executing QA Reviews in accordance with Global Policies, Standards and/or Procedures; and
  • Strong written and verbal communication skills
    Education / Qualifications:
  • Degree or equivalent industry standard qualification;



  • A proficiency in Italian and/or French is preferred.
  • Excellent communication skills
  • Results driven, with a strong sense of accountability
  • A proactive, motivated approach.
  • The ability to operate with urgency and prioritise work accordingly
  • Strong decision making skills, the ability to demonstrate sound judgement
  • A structured and logical approach to work
  • Strong problem solving skills
  • Excellent interpersonal skills
  • The ability to manage large workloads and tight deadlines
  • Excellent attention to detail and accuracy
  • A calm approach, with the ability to perform well in a pressured environment
  • Excellent managerial/leadership experience
  • The ability to lead a high performing team
  • Willingness to travel internationally.

MUFG, a global financial group 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. We are open to considering flexible working requests in line with organisational requirements.