MUFG Union Bank Centralized Compliance Testing Manager, Vice President in Irving, Texas
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.
Working within the Company’s Regulatory Compliance Risk Management function, develop and execute a compliance testing program designed to meet heightening regulatory standards and expectations pertaining to Federal and State laws, regulations, and supervisory guidance overseen by the compliance group and is generally contained in the Compliance Risk Inventory.
This influential senior position will partner closely with the Company’s Head of Compliance Testing, Chief Compliance Officer, and other key business partners to deliver an effective second line of defense testing program that meets senior management and regulatory expectations.
Perform control evaluation reviews and tests across all entities in accordance with the enterprise-wide testing program.
Develop test programs that 1) identify and assess the design of the control structure and environment, and 2) test the existing controls to ensure they are effective and functioning as management intended.
Work either independently or as part of a team in executing test programs and supervise and review the work of others that may be assisting on a review.
Identify control and compliance issues, assess and document the related risk, identify the root cause and make reasonable recommendations for resolution.
Responsible for ongoing communication with “clients” throughout the testing process to keep them apprised of progress and findings.
Prepare written reports that summarize the Objectives, Scope, Findings and Conclusions for each assigned review.
Conduct and document all work in accordance with established department procedures.
Strong academic credentials – minimum BA or BS degree from an accredited university; professional qualification such as Certified Regulatory Compliance Manger, Certified Internal Auditor, or other related professional certification preferred;
Minimum of 5 to 7 years’ experience in audit, regulatory examination, compliance testing, or similar capacity;
Minimum of 3 to 5 years experience within the banking and financial sector, with a focus on Federal and State laws, regulations, and supervisory guidance, risk management, or a combination of these disciplines within support functions such as Risk Management / Compliance Governance Programs, Human Resources, Finance, Legal, etc.;
Strong presentation and written communications skills; ability to interact with and influence senior executive management across the organization in order to achieve best practices and optimal business outcomes;
Ability to multi-task and work in a dynamically changing environment;
Demonstrated ability to develop and maintain cooperative, collaborative, and productive business partnerships;
Bilingual: Spanish, Portuguese or Japanese skills are preferred but not required.
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.
Primary Location: TEXAS-Irving
Other Locations: ARIZONA-Tempe
Schedule Full Time
Req ID: 10039858-WD