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Compliance Professional- Compliance Practices, AVP

4 months ago

Tempe, United States MUFG (DBA) Full time

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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 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:

As a Compliance Professional within Americas Core Compliance Practices Division, you will be entrusted with various activities and tasks that are required for effective management of the compliance risk within the bank. As part of this role you may lead, participate, support, and execute multiple processes including risk assessment, monitoring, regulatory data management, etc. This is an individual contributor role and will operate in a matrix organization and support various leaders within the group.

Major Responsibilities:

* Expert in multitasking, learn various processes within the practices group and execute these timely and with quality deliverables. Some of the process that this role is expected to learn and execute are Compliance Risk Assessment, Compliance Monitoring, Regulatory Data Management, and other process as assigned by the Head of Practices.


* Serve as subject matter expert provide specialized industry knowledge on enhancement and improvement of program.


* Support annual core compliance risk assessment process and perform activities assigned.
* Ensure timeliness and quality of the delivers,


* Conduct review and challenge the completed assessments,


* Ensure process steps are adequately followed.


* Assist with quality check and reporting.




* Monitoring
* Participant in administering the monitoring process and ensure effective implementation of the program.


* Interact with the compliance officers for timely completion of the monitoring.


* Perform review and challenge on the activities documented to ensure they are in alignment with the methodology.


* Conduct periodic testing of the monitoring activities and documentation to ensure compliance with the monitoring program. Document results and findings.


* Provide periodic reporting.




* Regulatory Data Management
* Maintenance and update of regulatory inventory, risk taxonomy and other associated activities.


* Interact with key business partners to ensure data standardization with data change requests, timely upload, and validation for accuracy.


* Manage compliance Risk and Control Self Assessment integration (RCSA).


* Conduct annual applicability assessments of the regulatory inventory.




* Ongoing maintenance of data dictionary, policies, procedures, standards, procedures, templates, and training documentation, as needed.


* Create training documents and conduct training to new users, refresher training to existing users, and project-specific training based on project needs.


* Incudes periodic data quality control reviews to ensure data accuracy and quality.


* Assist in the identification and streamlining of processes


* Review and challenge of the deliverables from the Compliance Officer.


* Timely completion of the activities with robust communication and stakeholder follow up.


* Provide periodic reporting.


* May be engaged in other compliance programs including but not limited to risk assessment, regulatory change management, reporting, etc.


* Maintain strong understanding of various process and how they interrelate to each other and impact.



Qualifications:

* 7-8 years of experience in financial services in either of the following areas: Audit, Compliance, or Risk Management Is Required


* Bachelor's degree or other risk management/Audit certifications like CIA, CRMA, CRCM, CFSA is required.


* Good understanding of Excel and its functionality is a PLUS.


* Prior experience with Open Pages preferred.


* Familiarity with compliance regulations impacting banks and working knowledge of a broad spectrum of financial products and services, and banking operations; preferred.


* Self-starter with ability to work independently.


* High level of attention to detail and documentation requirements.


* Self-driven with ability to multi-task and handle multiple priorities at one time and operate in matrix organization.


* Ability to communicate effectively (both orally and in writing) with various levels of management.


* Experience in the following is a plus but not required: Power Apps, Data management, VBA, SQL, Access, Advanced Excel formulas, InfoPath Designer, Power Apps, Power Automate.


* Demonstrated ability to manage workloads and prioritize deliverables, ability to be flexible



The typical base pay range for this role is between $85K - $105K 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

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.

* As a provincially regulated entity, MUFG Securities Canada is required to comply with applicable laws which prohibit discrimination based on protected grounds and which require accommodation to individuals in accordance with the requirements outlined in the Human Rights Code (Ontario) and the Employment Standards Act (Ontario). Where MUFG Securities Canada obtains information relating to protected grounds under the Human Rights Code (Ontario) as part of the application process, it does so to monitor and otherwise evaluate its own compliance with such legislation and associated regulatory requirements; MUFG Securities Canada does not use such information for decision making purposes relating to the position contemplated in this application.