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MUFG Union Bank Regulatory Risk Engagement and Control Manager, Vice President in Charlotte, North Carolina


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 2018). In the Americas, we’re 14,000 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.

Job Summary:

The Regulatory Risk & Engagement Group is a critical risk function within Operations and Technology for the Americas (OTA) striving to provide best in class regulatory risk and controls governance support and is pivotal in driving risk culture and discipline within OTA and the business groups it enables.

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 OTA organization. You will also 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.

Major Responsibilities:

  • 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.

  • Work with assigned teams on strategies to optimize and streamline the internal process of how OTA responds to and manages regulatory engagement and response, including strategies to establish the necessary regulatory framework that will evolve with the OTA 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.


  • 6 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.

  • Knowledge of critical domestic and international banking regulations (Reg W, Basel II, FFIEC, GDPR, etc.) and experience with enforcement agencies oversight activities (regulatory examinations, MRA’s, consent orders, etc.) within global systemically important financial institutions information technology and information security environments.

  • 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.

  • Ability to demonstrate an analytical approach to problem solving. Identify, analyze and apply/recommend practical solutions.

  • Experience with automating and or the ability to conceptualizing 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.)

  • Ability to work effectively in team environment, and influence across all interpersonal levels, where flexibility, collaboration, adaptability, challenge and influence are important.

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

  • Ambitious and hardworking

  • Bachelor’s Arts or Science

  • Deep understanding of financial institution processes, products and risk.

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

  • Risk, Information Security and of Technology Certifications desired, but not required. (CISA, CRISC, CISM, CGEIT, CSX, CISM, CISSP, ITIL, COBIT, etc.)

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: Risk

Primary Location: NORTH CAROLINA-Charlotte

Other Locations: TEXAS-Plano, TEXAS-Dallas

Schedule Full Time

Shift Day

Req ID: 10035988-WD