254 Financial Crimes jobs in India

• Investigate and analyze suspicious transaction alerts and cases related to money laundering, fraud, and terrorist financing.
• Develop and implement effective detection rules and monitoring systems.
• Conduct in-depth due diligence and risk assessments on customers and transactions.
• Prepare comprehensive Suspicious Activity Reports (SARs) and other regulatory filings.
• Collaborate with internal teams (Compliance, Fraud, Operations) to resolve issues and implement controls.
• Stay current with financial crime regulations, typologies, and emerging threats.
• Mentor and guide junior analysts, providing feedback and support.
• Contribute to the enhancement of anti-financial crime policies and procedures.
• Analyze large datasets to identify patterns and trends indicative of financial crime.
• Support internal and external audits and examinations related to financial crimes.

• Bachelor's degree in Finance, Criminal Justice, Economics, or a related field.
• 5+ years of experience in financial crime investigations, AML, KYC, or fraud detection.
• In-depth knowledge of financial regulations (e.g., BSA, PATRIOT Act).
• Proficiency with financial crime detection and investigation tools (e.g., AML software, transaction monitoring systems).
• Strong analytical and critical thinking skills with meticulous attention to detail.
• Excellent written and verbal communication skills, with the ability to articulate complex findings clearly.
• Experience in data analysis and ability to interpret large datasets.
• Relevant certifications (e.g., CAMS, CFCS) are highly desirable.
• Ability to work independently and manage a caseload effectively in a remote setting.
• Proven ability to maintain confidentiality and discretion.

About Us:

MUFG Bank, Ltd. is Japan’s premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank’s parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with over 360 years of history, the Group has about 120,000 employees and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. The Group aims to be the world’s most trusted financial group through close collaboration among our operating companies and flexibly respond to all the financial needs of our customers, serving society, and fostering shared and sustainable growth for a better world. MUFG’s shares trade on the Tokyo, Nagoya, and New York stock exchanges.

MUFG Global Service Private Limited:

Established in 2020, MUFG Global Service Private Limited (MGS) is 100% subsidiary of MUFG 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 MUFG’s global network across Americas, EMEA and Asia Pacific.

About the Role:

Position Title: Global Financial Crimes

Corporate Title: Associate / Assistant Vice President

Location: Bengaluru

Job Profile Position details

The Assistant Vice President role within the Americas Financial Crimes Internal Audit function is responsible for executing independent, objective assurance and consulting activities designed to assess and evaluate the effectiveness of the Bank's governance, risk management and control processes. It reports to a Director. This role includes, but is not limited to, execution of the end-to-end audit process of assigned BSA/AML projects and audits (e.g., planning, fieldwork testing,

reporting, issues validation, etc.) and independently owning audit administration activities and project deliverables across the organization.

Roles and Responsibilities:

• Assist in conducting and supporting America's financial crimes internal audits by evaluating the operating effectiveness of existing financial crimes compliance, as well as the design and implementation of relevant controls, such as escalation processes, documentation of policies and procedures, reporting, list screening, regulatory change management, governance framework, and training.
• Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.
• Act as a leader and role model and continuously improve self and department.
• Build relationships with peers and clients within the organization and exhibit a high standard of performance and professional conduct that will create a culture of integrity and inclusion; where all individual and departmental choices are rooted in good judgment and support MUFG's Principle of Ethics and Conduct.
• Operate with an innovative and flexible mindset by continuously identifying ways to enhance consistency, efficiency, quality and/or value.
• Demonstrate professional skepticism and personal accountability.
• Properly validated remediated issues in accordance with Audit methodology
• Lead walkthrough meetings and interviews with business stakeholders to develop understanding of business processes.
• Lead formal discussions with business stakeholders throughout the duration of audit engagements to communicate status or concerns.
• Identify potential risks and controls and assist in developing scope and work programs.
• Evaluate design and operational effectiveness of internal controls and identify control weaknesses.
• Generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices, reporting findings and audit issues to Audit Management.
• Prepare workpapers and audit reports with documented results that adhere to methodology, applicable standards and regulatory requirements, using appropriate business and technical language.
• Document workpapers demonstrating the work was appropriately performed (e.g., detailed lead sheets describing the control attributes that were tested and the results were documented in a manner to support the conclusions reached, effectiveness and sustainable controls are evident in documentation). Documentation should stand alone to enable re-performance.
• Identify control weaknesses and escalate and discuss findings with Audit Management and business stakeholders as appropriate.
• Complete work on a timely basis and deliver work products that meet objectives and standards of methodology, applicable standards and regulatory requirements.

Job Requirements:

Education, Licensure, Year of Experience (and type of work experience):

• A bachelor’s degree, preferably in Accounting, Finance, Business Administration, Criminal Justice or related business discipline at an accredited college or university.
• Chartered Accountant, CAMS, or CIA certification preferred or related business discipline at an accredited university.
• An advanced degree, or equivalent postgraduate degree is encouraged.

Skills and Experience:

• Minimum of 6 or more years of internal or external audit or risk management experience and/or equivalent experience with the financial services industry, related markets, and related regulatory agencies.
• Minimum of 3 or more years of financial crimes (BSA/AML/OFAC) compliance audit experience
• Experience working with the financial industry regulators, including OCC, FRB, SEC and FINRA and responding to regulatory requests.
• Proficient understanding of the internal audit process including risk assessment, audit methodology, and execution.
• Proven knowledge in technology as required for assigned areas (MS Office, audit data analytics, etc.)
• Highly motivated with the ability to multitask and remain organized in a high paced environment.
• Strong analytical and problem-solving skills.
• Expert understanding of financial crimes risk such as Bank Secrecy Act and Anti-Money Laundering (BSA/AML), Know Your Customer, and Sanctions is required.
• Exhibits effective communication (both verbal and written), negotiation and presentation skills; strong interpersonal skills; and ability to engage with all levels of internal audit and business line management.
• Team oriented with a strong sense of ownership and accountability.
• Employs critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment.
• The ability to travel may be required.

Equal Opportunity Employee:

The MUFG Group is committed to providing equal employment opportunities to all applicants and employees and does not discriminate on the basis of race, colour, national origin, physical appearance, religion, gender expression, gender identity, sex, age, ancestry, marital status, disability, medical condition, sexual orientation, genetic information, or any other protected status of an individual or that individual's associates or relatives, or any other classification protected by the applicable laws.

About Us:

Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with over 360 years of history, MUFG has a global network with over 2,700 locations in more than 50 markets. The Group has over 180,000 employees and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

The Group aims to “be the world's 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. MUFG’s shares trade on the Tokyo, Nagoya, and New York stock exchanges. MUFG Bank, Ltd. is Japan’s 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, SecurityBank in the Philippines and Bank Danamon in Indonesia.

MUFG Global Service (MGS)

Established in 2019, MUFG Global Services (MGS) is 100% subsidiary of MUFG Bank Ltd having offices in Bengaluru and Mumbai. MGS has been set up as a Global Capability Centre to provide support services across various functions such as IT, KYC/ AML, Credit, Operations, Trade Finance etc. to MUF GBank offices globally. With a current headcount of over 1000 employees, MGS India has plans to significantly ramp-up its growth over the next 18-24 months while servicing MUFG’s global network across Americas, EMEA and Asia Pacific.

About the Role:

Position Title: Financial Crimes Data Management Analyst

Corporate Title: Analyst

Reporting to: Compliance Data Officer (CDO) for the Americas

Location: Bangalore

Job Profile:

Purpose of Role:

This position supports the management of data quality within the Americas Region, with a specific focus on performing data quality monitoring from an oversight role, to ensure that payments and customer data reaching various screening systems are complete, unaltered, and fit for purpose.

Main Responsibilities:

• Support the Data Quality (DQ) Monitoring Leads in the identification of data anomalies as well as creation of data incidents as they relate to regulatory commitments to stay compliant with requirements regarding Anti- Money Laundering, Sanctions violations, Fraud detection, Know-Your-Customer standards, and electronic communications surveillance.
• Maintain monthly evidence regarding review of any new failures of data quality/business rules.
• Support the DQ Monitoring Lead in the daily monitoring, analysis, and DQ incident logging for the Comprehensiveness record count reconciliation DQ dashboard (n-Tier dashboard). This will include, but is not limited to, identifying, precisely documenting, and reporting DQ breaks through appropriate escalation; maintaining and responding to quarterly metrics reporting requests from the Global Head Office in Tokyo; and submitting monthly DQ metrics reporting to the Chief Data Office.
• Keep management updated on the progress of implementing necessary data quality controls.
• Assist in the preparation of monthly Data Governance Working Group forum presentation materials.
• Assist in annual reviews and updates of procedures.

Candidate Profile:

Skills and knowledge:

• Ability to work in a fast-paced start-up environment with the ability to handle several projects at one time.
• Good knowledge of financial services and an understanding of the financial crimes compliance space.
• Excellent planning and organizational skills.
• Ability to research information and analyze data to arrive at valid conclusions, recommendations, and courses of action.
• Experience in a consulting or solutions-analysis environment with specialization in business analysis.
• Excellent communication and interpersonal skills.
• Additional Skills
• Analytical, critical thinking, and problem-solving skills.
• Experience with analysis, identifying areas of ambiguity or obstacles, and taking initiative to establish clarity.
• Skills with change management and ability to anticipate broad-picture impacts of proposed and project- based changes.
• An understanding of emerging industry practices problem-solving scenarios.
• Skills developing and documenting structured techniques as well as implementing principles of Continuous Improvement.

Education & professional qualifications:

• A bachelor’s degree or above.

Experience:

• At least 2-4 years of experience in data analysis.

About Us:

Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world’s 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 world’s 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. MUFG’s shares trade on the Tokyo, Nagoya, and New York stock exchanges.

MUFG Bank, Ltd. is Japan’s 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.

MUFG Global Service Private Limited:

Established in 2020, MUFG Global Service Private Limited (MGS) is 100% subsidiary of MUFG 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 MUFG’s global network across Americas, EMEA and Asia Pacific

About the Role:

Position Title: Global Financial Crimes (GFC) - Audit Manager

Corporate Title: Assistant Vice President (AVP)

Location: Bengaluru

Job Profile:

Position details:

The GFC Audit Manager is responsible for executing and delivering all audit engagements assigned to them by the Chief Auditor and Heads of Audit. GFC Audit Managers support the relevant Head of Audit and Senior Audit Managers in delivering the audit plan. The role includes responsibilities to support annual planning processes and the maintenance of the audit risk universe.

GFC Audit Managers will have demonstrable subject matter expertise across the breadth of Financial Crime program components as well as a clear ambition for further personal and technical professional development.

Roles and Responsibilities:

• Support the Head of Audit in their management of the GFC Audit portfolio, risk universe sections, risk assessments and audit planning and execution.
• Take demonstrable ownership of assigned areas of responsibility during the audit engagement and manage the stakeholders (both internally and externally).
• Help and support the Head of Audit and Senior Audit Manager in planning engagements by identifying relevant key risk areas and producing quality Audit Planning Documentation.
• Demonstrate strong accountability and responsibility for the delivery of assigned audit work. Executing audit and issue management/validation on time and in line with departmental key performance indicators (KPIs) for quality, impact and effectiveness.
• Evaluate principle Financial Crime risks and devises effective and efficient strategies to tests key controls. Execute and document audit work and conclude on the results and overall effectiveness of controls, in-line with Internal Audit methodology standards.
• Escalate issues identified through the course of audit work to senior management. Interact constructively with audit stakeholders and audit team members to develop and negotiate solutions.
• Assess regulatory requirements and trends in financial markets and incorporate this into continuous monitoring activities. Deliver continuous monitoring assignments for agreed audit entities under the supervision of the Senior Audit Manager.
• Maintain constructive relationships with stakeholders so that audit planning and delivery is achieved smoothly and professionally.
• Follow up on Internal Audit issues to ensure satisfactory closure of Management Action Plans. This will involve the testing of remediated controls before closure of issues.
• Assist the Head of Audit and Senior Audit Manager in preparing management information and third-party submissions.
• Work collaboratively with all internal audit colleagues regionally and globally.
• From time to time, you may be asked to take a role in Internal Audit’s strategic initiatives e.g. participating in working groups supporting strategic improvement initiatives within the department.

Job Requirements:

• Demonstrable Financial Crime Internal Audit experience gained in the financial services industry, with experience of performing a global role with experience across different countries, lines of business and product areas.
• Professional subject matter certifications are preferable
• Demonstrable passion for Internal Audit and AML/Financial Crime risk management.
• Data analytics experience
• Experience of agile auditing
• Excellent written and verbal communication skills and the ability to present audit findings (verbally and in writing) in a clear, concise manner.

Personal Requirements:

• Excellent communication skills
• Results driven, with a strong sense of accountability
• A proactive, motivated approach.
• The ability to operate with urgency and priorities 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 pressurized environment

Equal Opportunity Employer:

The MUFG Group is committed to providing equal employment opportunities to all applicants and employees and does not discriminate on the basis of race, color, national origin, physical appearance, religion, gender expression, gender identity, sex, age, ancestry, marital status, disability, medical condition, sexual orientation, genetic information, or any other protected status of an individual or that individual's associates or relatives, or any other classification protected by the applicable laws.

About Us

Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with over 360 years of history, MUFG has a global network with over 2,700 locations in more than 50 markets. The Group has over 180,000 employees and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

The Group aims to “be the world’s 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. MUFG’s shares trade on the Tokyo, Nagoya, and New York stock exchanges.

MUFG Bank, Ltd. is Japan’s 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.

MUFG Global Service (MGS)

Established in 2019, MUFG Global Services (MGS) is 100% subsidiary of MUFG Bank Ltd having offices in Bengaluru and Mumbai. MGS 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, Trade Finance etc. to MUFG Bank offices globally. With a current headcount of over 1000 employees, MGS India has plans to significantly ramp-up its growth over the next 18-24 months while servicing MUFG’s global network across Americas, EMEA and Asia Pacific.

About the Role

Position Title: AVP, Global Financial Crimes Compliance Testing

Corporate Title: AVP

Location: Bangalore

Purpose of Role:

Responsible for supporting the Global Compliance Testing function in performing deep dives and targeted risk-based reviews of Financial Crimes Compliance (AML, Sanctions, ABC) processes across APAC with an emphasis on the design and effectiveness of measures (controls) taken to monitor and mitigate applicable risk.

Main Responsibilities:

• Engage directly with testing management and team leads with a goal to assist and when required lead end-to-end compliance testing reviews, applying the Bank’s testing methodology for MUFG Bank locations globally.
• Apply the bank’s testing methodology and create testing workpapers to evaluate the effectiveness of existing financial crimes frameworks including the design and implementation of relevant controls across the AML, Sanctions and ABC framework.
• Work closely with key stakeholders to understand business and functional requirements and support team leads in developing test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments, lessons learned from regulatory findings and internally identified issues by compliance testing and internal audit.
• Engage review stakeholders during testing and monitoring reviews and provide credible challenges to ensure financial crimes controls are adequately evaluated.
• Play a leading role in financial crimes related projects and engage with global and regional compliance management in the implementation of a coordinated, consistent, and risk-based testing program.
• Assist in developing and maintaining quality control processes to drive adherence to Global Testing Standards.
• Drive central coordination, governance, and reporting, leveraging regional structures and best practices.
• Apply in-depth subject matter and industry expertise in preparing/reviewing reports summarizing the objectives, scope, findings, and conclusions of completed testing.
• Support management in the validation of Management Action Plans designed to address remediation efforts and testing review findings.
• Play a leading role and provide guidance to Analysts in coordinating with Issues Management for monitoring and tracking resolution of testing findings, including validating actions taken to resolve previously identified issues.
• Monitor developments, such as changes in the regulatory environment, financial crime/core compliance risks and industry developments which may necessitate ad hoc testing.
• Play a key role in the development and enhancements to testing methodology, standards and procedures, Annual Test Plan, and testing tools.
• Support general compliance activities and other duties, including special projects as assigned

Candidate Profile:

Skills and knowledge:

• Experience with performing compliance testing, /assurance processes or internal/external audits preferred.
• Knowledge of financial crimes compliance and/or core compliance laws and regulations.
• Excellent judgment and analytical skills.
• Experience in working in diverse teams.
• Strong written and verbal communication skills.
• A qualified Chartered Accountant preferred.
• Some travel may be required, domestic and international.

Education & professional qualifications:

• BA/BS Degree required, CAMS a plus.

Experience:

• 10+ years of relevant experience, including experience in the financial crime's compliance and / or core compliance area of a global bank, consulting firm, or regulatory agency.

About Us:

Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world’s 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 world’s 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. MUFG’s shares trade on the Tokyo, Nagoya, and New York stock exchanges.

MUFG Bank, Ltd. is Japan’s 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.

MUFG Global Service Private Limited:

Established in 2020, MUFG Global Service Private Limited (MGS) is 100% subsidiary of MUFG 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 MUFG’s global network across Americas, EMEA and Asia Pacific

About the Role:

Position Title: Senior Audit Manager – Global Financial Crimes

Corporate Title: Vice President (VP)

Reporting to: Regional Financial Crimes Audit Director, EMEA

Location: Bengaluru

Job Profile:

Position details:

The Senior Audit Manager – Global Financial Crimes, EMEA is responsible for executing and delivering all audit engagements assigned to them by the Chief Auditor and Audit Directors. Senior Audit Managers support the relevant Audit Director and in delivering the audit plan through sub-portfolio ownership.

The role includes responsibilities to support the annual planning process and the maintenance of the audit risk universe. Senior Audit Managers – Global Financial Crimes will have demonstrable and extensive subject matter expertise in their area as well as a clear ambition to continue further professional development, including an ability to lead, coach and develop junior team members.

Roles and Responsibilities:

• Support the Audit Director in their management of the Global Financial Crimes portfolio, risk universe sections, risk assessments and audit planning and execution. Taking ownership of an assigned sub-portfolio, including oversight and audit strategies for delegated elements of the Audit Universe.
• Support the Audit Directors to dynamically manage the audit plan for the assigned portfolio considering whether it remains relevant throughout the year, proposing changes as appropriate.
• Take ownership of effective scheduling of resources to complete team deliverables, which accurately reflects availability and assignment requirements.
• Take demonstrable ownership of assigned areas of responsibility managing team members and stakeholders (both internally and externally) to achieve objectives.
• Take ownership for the planning of engagements, coordinating audit team activities to identify relevant key risk, overseeing the production of quality Audit Planning Documentation, on time and through the utilisation of Agile audit techniques.
• Demonstrate strong accountability and responsibility for the delivery of assigned audit work, role-modelling a sense of urgency within the team. Executing audit and issue management/validation on time and in line with departmental key performance indicators (KPIs) for quality, impact and effectiveness.
• Ensure audit reporting and Management Information (MI) is accurate and complete (e.g. Monthly Audit Reports, Audit Committee reporting etc.)
• Deliver continuous monitoring assignments for a set portfolio across all EMEA branches and supervise the delivery by Audit Managers where applicable.
• Evaluate principle financial crime and fraud risks and devises effective and efficient strategies to tests key controls. Execute and document audit work and conclude on the results and overall effectiveness of controls, in-line with Internal Audit methodology standards.
• Escalate issues identified through the course of audit work to senior management. Interact constructively with audit stakeholders and audit team members to develop and negotiate solutions.
• Maintain constructive relationships with stakeholders so that audit planning and delivery is achieved smoothly and professionally.
• Deliver audit reports which are insightful, factually based, impactful and robust, and require minimal rewrite by the Audit Director/ExCo. May be required to support multiple engagements concurrently.
• Attend Bank forums as a Financial Crimes subject matter expert when requested.
• Follow up on Internal Audit issues to ensure satisfactory closure of Management Action Plans. This will involve the testing of remediated controls before closure of issues.
• Support Audit Directors to provide clear, concise and accurate senior executive and governance committee papers on time – including Audit Committee, Risk Committee Control Environment and MCA Opinions.
• Work collaboratively with all internal audit colleagues regionally and globally.
• From time to time, you may be asked to take a role in Internal Audit’s strategic initiatives e.g. participating in working groups supporting strategic improvement initiatives within the department.
• Line management responsibilities will include:
• Be accountable for the line management of all staff allocated to you;
• Be a role model line manager through regular high-quality career focused 121s and constructive feedback, delivering the tough messages promptly when required and coaching others to enable employee development;
• Actively coach others and enable employee and team development;
• Drive and create growth opportunities for staff within the team/EIA/MUFG. Maintain a high quality IDP with specific time-bound action plans. Grow the required skills within the team and address skill-gaps;
• Drive and create opportunities to increase staff engagement and recognise and celebrate individual and team success;
• Understand individual’s value drivers and career aspirations and inspire them to high performance and motivate them to take on new responsibilities.

Job Requirements:

• Demonstrable, extensive Financial Crime Internal Audit experience gained in the financial services industry.
• Experience of Primary Businesses and Products and Financial Crimes. Primary businesses include: Corporate Banking, Investment Banking (Structured Lending, Project Finance, Trade Finance etc.), Transaction Banking and Global Markets
• Comprehensive understanding of current Financial Crimes rules, regulations, and expectations relevant to the business within the EMEA region. Solid understanding of risk management frameworks, expected processes, key risks and associated controls
• Business fluency in English and experience in an international work environment.
• Data analytics experience
• Experience of agile auditing
• Excellent written and verbal communication skills and the ability to present audit opinions (verbally and in writing) in a clear, concise manner aimed at an executive level audience.

Company Name - Anand Rathi Global Intermediaries Limited (Stock Broker)

Company Overview

We are a SEBI-registered Trading Member and Self-Clearing Member with a focus on institutional broking, proprietary trading, and promoter group trading activities.

Role Overview

The Risk Manager leads the development, implementation, and oversight of risk management policies and daily surveillance in a prop and institutional desk environment. This individual will be responsible for real-time risk controls, regulatory margin management, exposure monitoring, and limit enforcement across all firm and group trading activities.

Key Responsibilities

• Develop and implement comprehensive risk management frameworks and processes for prop, institutional, and promoter trades
• Monitor exposures, P&L, and real-time risk across trading desks; implement controls to ensure compliance with SEBI, Exchange, and internal policies
• Oversee margin management, position limits, scrip profiling, and fund allocation in alignment with regulatory and internal risk norms
• Perform stress testing, scenario analysis, and risk analytics for large and complex positions/trades
• Supervise surveillance of all client and group trades to detect anomalies, trigger alerts, and enforce action as per policy
• Collaborate with front office, compliance, and technology teams to ensure system readiness for risk capture and reporting
• Conduct regular reviews of risk management systems, participate in audits, and enhance processes in line with best practices
• Ensure timely regulatory and internal risk reporting; present key risk exposures and action plans to management
• Train desk and ops teams in risk awareness, policy updates, and compliance practices

Candidate Requirements

• Graduate/Postgraduate with 5–10 years’ experience in risk management for institutional/prop broking.
• Advanced understanding of capital market risk controls, margin management, position/limit monitoring, and risk reporting
• Familiar with exchange systems (e.g., NMASS, OFS Portals), scrip/client profiling, and risk system tools
• Analytical with hands-on skills in scenario analysis, stress testing, and exposure surveillance
• Strong regulatory knowledge: SEBI, NSE/BSE, clearing and settlement framework, internal controls
• Excellent communication, technology acumen, and cross-team coordination
• FRM/CFA/NISM series or equivalent risk certifications