Global Financial Crimes Governance Lead

1 month ago

Tempe, Arizona, United States MUFG Full time

Job Summary

The Americas GFCD QA GAO Lead will be responsible for leading the Regional Americas GFCD QA GAO function. The role advises and oversees all QA teams across the key financial crimes controls in the Americas.

Key Responsibilities

  • Implement and oversee the QA program in a business as usual environment to mitigate financial crime risks.
  • Manage the operation of the financial crime compliance framework.
  • Deliver 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.
  • 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) report(s).
  • Contribute to and challenge attendees in the Regional QA WGs as required.
  • 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.

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