E-Communications Surveillance Manager, Vice President

Company: MUFG Union Bank
Location: Irving
Posted on: February 25, 2021

Job Description:

MUFG is committed to the safety and well-being of our colleagues, clients, candidates, and the community as we manage the current COVID-19 pandemic. During this time, as we continue to recruit and hire exceptional talent to join our team, we are taking the necessary precautions to limit in-person contact, aligned with Federal, State, and local health recommendations and requirements. All interviews are being conducted remotely via Skype, FaceTime, or phone. Additionally, we have implemented remote on-boarding for new colleagues, as appropriate. Thank you for your interest in exploring career opportunities with MUFG. Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020).In the Americas, we're 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed, and agility. We're a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count. Major Responsibilities:-- The general responsibilities for the E-Communications Surveillance Manager include the following:

• 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
• Building a team to conduct e-communications reviews; managing a team (based in Tempe) and overseeing the performance and performing quality assurance of them and any other person(s) assigned to perform communication surveillance
• 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 Qualifications and Experience:-- The ideal candidate will possess the following qualifications and experience:
  • 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) Join us as we evolve our organization to become more agile, innovative and inclusive! The above statements are intended to describe the general nature and level of the work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category. A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses. We are committed to ensuring that our online application process provides an equal employment opportunity to all applicants, including individuals with disabilities. If you are an applicant with a disability, or are assisting an applicant with a disability, and require accessibility assistance or an accommodation to apply for one of our jobs, please submit a request by telephone at 1-866-275-4717 or email us at AskHR@us.mufg.jp . Include your contact information and specific details about your requested accommodation. We are proud to be an Equal Opportunity/Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.

Keywords: MUFG Union Bank, Irving , E-Communications Surveillance Manager, Vice President, Executive , Irving, Texas