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MUFG Union Bank Operations & Technology Regulatory Risks and Engagement Management, Director in Charlotte, North Carolina

Operations & Technology Regulatory Risks and Engagement Management, Director - 10047335-WD


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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020). In the Americas, we’re 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We’re a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.

Some MUFG roles require that individuals be fully vaccinated against COVID-19, subject to medical and/or religious exemptions, if applicable. Should you be selected for an interview, your recruiter will provide additional information.

Job Summary:

In this role you will focus on internal and external compliance requirements, activities, and deliverables to ensure that Operations & Technology meets regulatory and audit milestones. Responsibilities include engaging with regulators and/or leaders from other functions, including audit and compliance, and collaborating with Operations & Technology colleagues to prepare or review content prior to submission and manage follow-up actions; establishing processes, templates, and stakeholder matrices for activities; creating roadmaps aligned to recurring and ad hoc milestones; ensuring stakeholders execute appropriately and meet milestones on time; tracking, escalating, and/or remediating risks and issues; and developing and executing executive-level reporting.

This role is a first line risk executive, responsible for a team of professionals who partner with senior leadership to drive effective regulatory engagement, exam management, and matters requiring attention (MRA) remediation. You and your team will be responsible for building out exam and MRA management best practices, developing key messages for senior leaders, establishing consistent protocols across Operations & Technology, and implementing strong governance practices.

Major Responsibilities:

  • Design and implement best practices and drive consistent and effective execution

  • Examine emerging regulatory trends, develop insights, and collaborate on solutions to sustain and strengthen the control environment

  • Coordinate exam preparation, including understanding outstanding issues and industry practices specific to the exam

  • Develop key messages for kick off materials and other communications

  • Manage requests for information and track follow-up items through to completion

  • Ensure appropriate management focus, monitor and facilitate remediation of MRAs; including project plan development, execution, status reporting, and closure

  • Develop reporting to management on regulatory trends, exams, and MRAs

  • Establish management routines and procedures to ensure effective organization-wide regulatory management

  • Provide regulatory related subject matter expertise for relevant projects driven inside and outside of the organization

  • Maintain strong engagement across multiple stakeholders and collaborate with key senior business partners and regulatory partners

  • Recruit, develop, and retain key talent, ensuring that the resources dedicated to risk management are effective in carrying out the required functions

  • Provide a holistic view of regulatory status to senior leadership and ensure the team effectively executes required functions


Qualifications :

  • Bachelor’s degree in technology, engineering, risk management, computer science, information systems, or equivalent field

  • Relevant professional certifications a plus

  • 15 years of professional experience including working at a financial institution or related company, including management responsibilities. 5 years working on regulatory initiatives/programs.

  • Preferred: experience in a financial institution, "Big 4" IT audit, or other highly regulated environment

  • Understanding of risk management, including experience executing risk assessments, testing, and evaluating processes and controls

  • Strong project management skills; includes an ability to independently drive work, and pragmatically solve problems

  • Knowledge of critical domestic and international banking regulations (Reg W, Basel II, Federal Financial Institutions Examination Council (FFIEC), General Data Protection Regulation (GDPR), etc.) and experience with enforcement agencies' oversight activities (regulatory examinations, MRAs, consent orders, etc.) within global systemically important financial institutions' information technology and information security environments

  • Experience with executing operations, technology and/or information security risk assessment/testing methodologies, evaluating the adequacy and efficiency of internal controls, and identifying issues resulting from internal and or external compliance examinations

  • Experience with automating and/or the ability to conceptualize automated control solutions is highly desired

  • Experience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, SQL, Access etc.)

  • Strong planning, organizing skills, ability to multitask, and deal with varied workload

  • Understanding of risk management, including experience executing risk assessments, testing, and evaluating processes and controls

  • Prior supervisory and or management role with a focus on talent development

  • Ability to excel at developing and communicating key messages to senior managers and regulators (Office of the Comptroller of the Currency (OCC), Federal Reserve Board (FRB), etc.)

  • Understanding of regulatory requirements and/or industry standards for exam preparation

  • Experience designing and implementing regulatory management governance and frameworks

  • Extensive experience with U.S. regulatory environment, compliance, and governance; experience directly interacting with regulators.

  • Strong project management skills; ability to prioritize, manage, and execute multiple priorities concurrently; includes an ability to independently drive work, and pragmatically solve problems

  • Prior experience working at a regulatory agency a plus

  • Ability to deliver results within a complex environment; develop and drive best practices

  • Strong leadership, people management, and influencing skills; proven strength in relationship development and leading through influence across multiple stakeholders

  • Outstanding communication skills; ability to foster close and collaborative productive working relationships across the organization and with regulators

  • Strong work ethic, ability to make decisions and work under tight deadlines; achievement-oriented and takes initiative

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 / Affirmative Action 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 in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

Job : Technology

Primary Location : NORTH CAROLINA-Charlotte

Job Posting : Oct 13, 2021, 8:56:46 AM

Shift: : Day

Schedule: : Full Time

Req ID: 10047335-WD