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Global Financial Crimes Governance and Advisory Lead

2 months ago

Tempe, Arizona, United States MUFG Full time
Job Summary

We are seeking a highly experienced and skilled professional to lead our Regional Americas GFCD QA GAO function. As Americas GFCD QA GAO Lead, you will be responsible for managing the operation of the financial crime compliance framework, implementing and overseeing the QA program, and mitigating financial crime risks.

Key Responsibilities
  • Lead the Regional Americas GFCD QA GAO function and manage the operation of the financial crime compliance framework.
  • Implement and oversee the QA program to ensure effective financial crime risk management.
  • Manage the delivery of output by the Americas GFCD QA GAO function, including meeting target dates and deadlines.
  • Ensure the quality of output by the Americas GFCD QA GAO function, including the completeness and accuracy of the work.
  • Evaluate and escalate identified risks or issues to the Head of Americas GFCD QA in a timely manner.
  • Complete issue actions on time where the role holder is the action owner.
  • Complete mandatory training on time, including the role holders and team members.
  • Achieve annual personal objectives or escalate risks to achieving the annual personal objectives to the Head of Americas GFCD QA in a timely manner.
  • Maintain technical and non-technical personal development to meet the demands of the role.
  • Support the Head of Americas GFCD QA and Program Due Diligence by overseeing the Americas GFCD QA function, including supervising team members, prioritizing workloads, quality control, absences and leave, training, coaching, and career development.
  • Draft, refresh, and maintain the Americas GFCD QA GAO components of the Americas GFCD QA operating manual.
  • Draft, refresh, and maintain the Americas GFCD QA GAO annual plan.
  • Draft and distribute the Regional QA Working Group(s) (WG) report(s).
  • Contribute to and challenge attendees in, as required, the Regional QA WGs.
  • Draft and distribute the Regional QA WG meeting note(s).
  • Draft the regional minimum standards for FCC QA, including regional FCC QA: Process coverage Requirements Scoring guidance.
  • Obtain the approval(s) of the regional minimum standards for FCC QA.
  • Update the Regional Financial Crimes Office (RFCO) stakeholders on risks or issues in a timely manner.
  • Provide FCC QA advice to the QA Managers in the Local Financial Crimes Functions (LFCF) and First Line of Defence (FLoD).
  • Obtain FCC QA advice from the Heads of ABC, AML, and Sanctions QA.
  • Communicate the approved Global FCC QA Methodology, and global and regional minimum standards for FCC QA to the RFCO stakeholders.
  • Communicate the approved Global FCC QA Methodology, and global and regional minimum standards for FCC QA to the QA Managers in the LFCF and FLoD.
  • Drating the training material on the approved regional minimum standards for FCC QA.
  • Train the Regional GFCD QA team members, Regional MGS GFCD QA Leads, and QA Managers in the LFCF and FLoD on the approved global and regional minimum standards for FCC QA.
  • Confirm the Regional GFCD QA team members, Regional MGS GFCD QA Leads, and QA Managers in the LFCF and FLoD training attendance on the approved global and regional minimum standards for FCC QA.
  • Execute oversight activities in accordance with the Americas GFCD QA GAO annual plan or ad hoc requests.
  • Produce and distribute QA oversight MI to GFCD QA leadership and Regional QA Working Group(s).
Requirements
  • 7+ years of financial industry and compliance experience, preferably within a global organization in a role directly involved with driving change, program enhancement, and critical program evaluation.
  • 3-5 years experience in: Leading a team with direct reports, FCC QA, FCC controls oversight, FCC technical advice provision.
  • Experience interacting with financial crime program senior leadership and compliance subject matter experts.
  • Thorough understanding of an effective financial crimes risk management framework.
  • Financial crime compliance control design, control evaluation, testing, or auditing.
  • Interfacing with banking regulators and enforcement staff.
Education/Qualifications
  • Financial crimes risk management or control design and evaluation related certifications.

The typical base pay range for this role is between $117k-$147k 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.