MUFG Union Bank Regulatory Risk Engagement and Control Manager, Vice President in Charlotte, North Carolina
Regulatory Risk Engagement and Control Manager, Vice President - 10046186-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._
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.
We are looking for a person who is collaborative and passionate about providing technology and information security operational risk management. In this role you will be the point person to work with assigned project teams on remediation of regulatory related efforts across the Operations & Technology organization. You will provide reporting, both written and verbal, to senior leadership on the status of regulatory remediation, including escalation of remediation risks and issues as needed. You will also participate in the buildout of metrics, scorecards, and reporting for senior management.
Drive the management of the collective efforts associated with remediation of regulatory findings including tracking timelines, facilitating responses as well as comprehensive reporting of regulatory related items
Facilitate meetings both with internally (Technology & Operations business areas, First, Second and Third Lines of defenses); and external partners (Regulators).
Work with assigned teams on strategies to optimize and streamline the internal process of how Operations & Technology responds to and manages regulatory engagement and response, including strategies to establish the necessary regulatory framework that will evolve with the transformation work, as well as drive efficiencies and solve for/minimize regulatory issues going forward
Monitor and drive program timelines and critical path milestones of regulatory related initiatives, ensuring related plans are comprehensively addressing related regulatory requirements, and are driven to closure within approved timelines.
Coordinate and/or participate in regulatory exams, as assigned.
Provide timely issue and corrective action monitoring and coordination to assist stakeholders with corrective action remediation including successful
validations and driving on-time closures.
Develop and maintain effective and positive business relationships with all stakeholders.
Provide quality risk analysis and risk mitigation recommendations.
Support the preparation of risk and controls governance materials as needed.
7 years of experience in information technology, information security and/or operational risk management, (includes operations, operational risk management, compliance, audit, and third party risk management within technology and/or information security), or a combination thereof
Deep understanding of financial institution processes, products, and risk
Prior supervisory and/or management role with a focus on talent development
Strong understanding of governance and oversight best practices, ideally with experience implementing and/or managing governance processes
Deep understanding of financial institution processes, products, and risk
Knowledge of critical domestic and international banking regulations
Experience with enforcement agencies' oversight activities (regulatory examinations, matters requiring attention (MRAs), consent orders, etc.) within global systemically important financial institutions' information technology and information security environments
Understanding of 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
Advanced level of proficiency using Microsoft Excel to organize and analyze data, produce management reporting and dashboards, and prototype strategic solutions is critical
Experience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, structured query language (SQL), Access etc.)
Experience developing and communicating key messages to senior managers and regulators
Strong planning and organizing skills and the ability to multitask across a varied workload
Experience with executing 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 risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, SQL, Access etc.)
Knowledge of information technology risk and process frameworks, including Committee of Sponsoring Organizations of the Treadway Commission (COSO), COBIT, National Institute of Standards and Technology (NIST), Cybersecurity Horizontal Reviews, and ITIL
Knowledge of consumer banking, consumer lending, capital markets, commercial loans, trade services, payment operations, etc.
Familiarity with U.S. regulatory environment, compliance, and governance
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, matters requiring attention (MRAs), consent orders, etc.) within global systemically important financial institutions' information technology and information security environments
Experience with automating and/or the ability to conceptualize automated control solutions is highly desired
Prior experience working at a regulatory agency a plus
Outstanding communication skills; able to foster close and collaborative productive working relationships across the organization
Strong work ethic, ability to make decisions and work under tight deadlines; achievement-oriented and takes initiative
Ambitious and hardworking
Ability to work effectively in team environment, and influence across all interpersonal levels, where flexibility, collaboration, adaptability, challenge, and influence are important
Ability to demonstrate an analytical approach to problem solving: identify, analyze, and apply/recommend practical solutions, is highly desired
Preferred: experience in a financial institution, "Big 4" accounting firm, or other highly regulated environment
Bachelor’s degree in technology, engineering, risk management, computer science, information systems or equivalent field.
Preferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM) or Certified in Risk and Information Systems Control (CRISC)
Other preferred Certificates: Risk, Information Security and of Technology Certifications desired, but not required. (Certified in the Governance of Enterprise Information Technology (CGEIT), CSX, Certified Information Systems Security Professional (CISSP), Information Technology Infrastructure Library (ITIL), Control Objectives for Information and Related Technologies (COBIT), etc.)
The above statements are intended to describe the general nature and level of the 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
Other Locations : ARIZONA-Tempe
Job Posting : Aug 19, 2021, 1:54:12 PM
Shift: : Day
Schedule: : Full Time
Req ID: 10046186-WD