Global Core Compliance Testing, Assistant Vice President

Do you want your voice heard and your actions to count?

Discover 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

Job Summary:

Responsible for supporting the Global Compliance Testing function and leading, or participating on as an individual contributor, a testing team in performing deep dives and targeted risk-based thematic reviews of Core Compliance processes across the Americas with an emphasis on the design and effectiveness of measures (controls) taken to monitor and mitigate compliance and program risks.

Major Responsibilities:

• Participate on a team of testers in conducting and supporting financial crimes and/or core compliance reviews for MUFG Bank, Ltd. branches globally, that evaluate the effectiveness of existing core compliance frameworks, as well as the design and implementation of relevant controls, such as escalation processes, documentation of policies and procedures, reporting, regulatory change management, governance framework, and training
• Develop test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments, and lessons learned from regulatory findings and internally identified issues by compliance testing and internal audit
• Assist in 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
• Assist in the drive of central coordination, governance, and reporting, leveraging regional structures and best practices
• Prepare/review reports summarizing the objectives, scope, findings and conclusions of completed testing
• Assist in the validation of Management Action Plans designed to address remediation efforts and test review findings
• Coordinate with Issues Management to monitor and track resolution of testing findings
• Assist with establishing appropriate testing management routines and ensure proper awareness of testing review results through reporting and other means
• Monitor developments, such as changes in the regulatory environment, which may necessitate ad hoc testing
• Support general compliance activities and other duties, including special projects as assigned

Qualifications:

• BA/BS Degree required; JD, CPA, CIA and/or CAMS a plus
• At least 4 years of experience within the core compliance area of a global bank, consulting firm or regulatory agency
• Experience with compliance testing, quality control/assurance processes and/or internal/external audits
• Minimum of 2 to 3 years of experience leading testing efforts in, or exposure to, quality control or quality management functions and results
• Knowledge of core compliance laws and regulations
• Excellent judgment and analytical skills
• Test script/procedure creation and/or experience with the test scripting process
• Strong written and verbal communication skills

The typical base pay range for this role is $91,000 to $118,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.

The above statements are intended to describe the general nature and level of 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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.