The EMEA QA team lead will sit in First Line Risk & Control team, and is responsible for driving QA standardization and consistency in the first lines of defense through setting minimum QA standards, providing technical advisory, discharging oversight and governance, and building an effective QA execution capability.
Responsibilities
* The individual will be responsible for conducting the EMEA - Trade Finance Quality Assurance (QA) reviews within the 1st line Risk and Control Trade Operations team.
* As 1st line Risk and Control Trade Operations Team, 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, implementing and overseeing the QA program in a "business as usual" environment to mitigate the financial crime risks.
* The QA Lead role reports directly into the Head of First Line Risk & Control, 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.
* Supporting the planning, designing, scoping, executing, escalating and reporting of QA Reviews as a part of the overall QA cycle in accordance with the GFCD QA Standards.
* Ensure the maintenance of written QA procedures and operating manuals for conducting QA reviews is completed in accordance with the GFCD QA Standards.
* Supporting the implementation of a coordinated, consistent and risk-based AML and Sanctions QA program across Trade Finance.
* Preparing 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 Trade Finance Operations control process effectiveness and facilitating the periodic reporting to the appropriate regional governing bodies. Ensuring these are completed in a timely manner.
* 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.
* Supporting the coordination with Regional Issues Management to monitor and track the resolution of QA identified issues and action plans.
* Attend and participate in the monthly Regional AML and Sanctions Working Groups call, which the Head of EMEA GFCD QA chairs to discuss QA results across all the control processes within EMEA.
* Maintaining technical and non-technical personal development to meet the demands of the role.
* Overseeing and leading the 1st line Trade Finance QA function, including managing team members, prioritizing workloads, quality control, absences and leave, training, coaching, and career development.
Essential Qualifications
* 7 plus years of financial industry and compliance experience, preferably within a global organization in a role directly involved with driving change, program enhancement and critical program evaluation.
* Experience leading a team with direct reports.
* Experience in FCC QA.
* Experience in FCC controls oversight.
* Experience in FCC technical advice provision.
* Experience interacting with financial crime program senior leadership and compliance subject matter experts.
* Thorough understanding of an effective financial crimes risk management framework.
Preferred Qualifications
* Experience in financial crime compliance control design, control evaluation, testing or auditing.
* Experience in interfacing with banking regulators and enforcement staff.
* Experience in Trade Finance Operations.
* Experience in QA concepts, including sampling, stratification, QA testing, and QA MI.
* Experience in governance concepts, including accountability, decision making, and challenge.
* Experience in oversight and assurance concepts, including testing approaches, monitoring, and sources of assurance.
* Proven excellence in execution in complex and demanding situations.
* Collaborative with strong interpersonal communication skills.
* Systemic thinker across enterprise.
* Process oriented couple with a strong ability to develop appropriate program enhancing strategies.
* Detail-oriented and organized execution.
* Executive level presentation skills.
* An enterprise risk management perspective.
* Demonstrated ability to manage multiple projects simultaneously.
* The ability to interact effectively at all levels of the organization, including MUFG staff, management, directors and regulators.
Personal Requirements
* Excellent communication skills.
* Results driven, with a strong sense of accountability.
* A proactive, motivated approach.
* The ability to operate with urgency and prioritize work accordingly.
* Strong decision-making skills, the ability to demonstrate sound judgement.
* A structured and logical approach to work.
* Strong problem-solving skills.
* A creative and innovative approach to work.
* 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 pressurized environment.
* Strong numerical skills.
* Excellent Microsoft Office skills, particularly Excel.
* A confident approach, with the ability to provide clear direction to your team.
* Excellent managerial/leadership experience.
* The ability to lead a high performing team.
* A strategic approach, with the ability to lead and motivate your team.
* The ability to articulate and implement the vision/strategy for the QA department.
Education / Qualifications
* Preferred: Financial crimes risk management or control design and evaluation related certifications.
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Operation Office for EMEA has several functions including a) processing center for users including EMEA offices and London users, b) regional head quarter of operations, c) support function. First Line Risk & Control department is one of support function and to maintain proper governance from first line risk & control perspective. The First Line Risk & Control Team is part of the Operations Risk & Control pillar within the EMEA Operations division. First Line Operations Risk & Control's purpose is to equip the Product Service pillars in Operations with a dedicated, pre-emptive first line control function which will enable Operations to meet internal and external (including regulatory) obligations.
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