Compliance Tech AVP

Assistant Vice President (AVP) – Compliance Technology

The Assistant Vice President (AVP) – Compliance Technology will support the oversight, execution, and ongoing management of Financial Crimes Compliance (FCC) and Core Compliance technology platforms within the Americas region. This role will focus on delivery execution, technology governance, regulatory support, and coordination across business, IT, and vendor teams.

The AVP will play a critical role in ensuring compliance technology solutions meet regulatory expectations, enterprise technology standards, and business requirements, while supporting ongoing change initiatives, upgrades, and regulatory exams.

Key Responsibilities

• Support the oversight and day-to-day management of Financial Crimes and Compliance technology platforms (e.g., transaction monitoring, sanctions screening, electronic communications surveillance, trade/market surveillance).
• Ensure technology solutions align with enterprise standards, regulatory requirements, and internal control expectations.
• Partner with business and compliance stakeholders to understand regulatory and functional needs and translate them into technology requirements.
• Support and manage technology initiatives including upgrades, enhancements, and remediation efforts.
• Participate in UAT, testing coordination, and validation activities to ensure changes are implemented accurately and safely.
• Assist with change management processes, ensuring proper documentation, approvals, and audit trails are maintained.
• Support responses to regulatory exams (e.g., OCC, FRB), audits, and internal reviews by providing technology artifacts, documentation, and data extracts as required.
• Assist in coordinating regulatory responses related to technology platforms, data, and system controls.
• Support compliance with technology governance requirements including SRRP, system inventory, risk assessments, and control attestations.
• Coordinate with ITA, architecture, security, and risk partners to ensure compliance systems meet required standards.
• Track and support remediation of identified gaps or findings related to compliance technology.
• Work closely with vendors and consultants to support solution delivery, issue resolution, and ongoing platform support.
• Coordinate across business, compliance, IT, and vendor teams to ensure clear communication and timely resolution of issues.
• Act as a point of contact for assigned platforms or initiatives.

Required Qualifications

• Bachelor's degree in Technology, Information Systems, or a related field.
• 5–10 years of experience in compliance technology, financial crimes, AML, sanctions, or related technology roles.
• Working knowledge of Financial Crimes Compliance concepts (AML, sanctions, transaction monitoring, screening).
• Experience supporting technology projects, testing, or regulatory initiatives in a financial services environment.
• Strong coordination skills with the ability to work across multiple teams and stakeholders.

Preferred Qualifications

• Experience supporting FCC or Core Compliance platforms (e.g., Actimize, transaction monitoring, screening tools, electronic communications surveillance, trade/market surveillance).
• Exposure to regulatory exams or audit support activities.
• Experience working with offshore or external vendors.

As per MUFG's work policy for all personnel, candidates must work onsite for 4 days and 1 day remotely.

The typical base pay range for this role is between $90K - $111K 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.