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Regulatory Compliance Officer

2 months ago

Tempe, Arizona, United States MUFG Bank, Ltd. Full time
About the Role

MUFG Bank, Ltd. is seeking a highly skilled Compliance Professional to join our Americas Core Compliance Practices Division. As a key member of our team, you will be responsible for managing compliance risk within the bank, leading and executing various processes, and serving as a subject matter expert.

Key Responsibilities
  • Expertly manage multiple processes, including risk assessment, monitoring, and regulatory data management, to ensure timely and high-quality deliverables.
  • Provide specialized industry knowledge to enhance and improve compliance programs.
  • Support the annual core compliance risk assessment process and perform assigned activities.
  • Ensure the timeliness and quality of deliverables, conduct reviews and challenges, and ensure process steps are adequately followed.
  • Assist with quality checks and reporting.
  • Monitor and administer the monitoring process, ensuring effective implementation of the program.
  • Interact with compliance officers for timely completion of monitoring activities.
  • Perform reviews and challenges on documented activities to ensure alignment with methodology.
  • Conduct periodic testing of monitoring activities and documentation to ensure compliance with the monitoring program.
  • Document results and findings, and provide periodic reporting.
  • Maintain and update regulatory inventory, risk taxonomy, and associated activities.
  • Interact with key business partners to ensure data standardization, 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.
  • Perform periodic data quality control reviews to ensure data accuracy and quality.
  • Assist in the identification and streamlining of processes.
  • Review and challenge deliverables from compliance officers.
  • Ensure timely completion of activities with robust communication and stakeholder follow-up.
  • Provide periodic reporting.
Requirements
  • 3+ years of experience in financial services in either audit, compliance, or risk management.
  • Bachelor's degree or other risk management/audit certifications like CIA, CRMA, CRCM, CFSA.
  • 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 a 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.