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MUFG Union Bank Global Financial Crimes Compliance Testing Practices, Director in New York, New York

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) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we’re 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that’s working to fulfill its vision to be the world’s most trusted financial group.

Job Summary:



The Global Financial Crimes Testing Department is a centrally coordinated function that implements coordinated, consistent, and risk-based anti-money laundering, sanctions, and anti-bribery & corruption controls testing, evaluating routinely financial crimes program design and execution to detect risk and control concerns and escalate matters to aid timely risk mitigation and control enhancement. We accomplish this by leveraging regional structures and best practices, driven by central coordination, governance, and reporting.




Major Responsibilities:

The Director - Testing Practices is a role within the Global Financial Crimes Compliance Testing Department that reports to the Managing Director, Global Head of Financial Crimes Compliance Testing, and is responsible for leading a team to develop and maintain a testing practices function that drives global risk-based test planning, standards development, procedures/test script development, analytics support, and report quality for a world class financial crimes compliance testing function. This role will work closely with Global Financial Crimes Compliance Testing Department leads in regional and global testing units.

This individual is also responsible for contributing to all aspects of development of the Global Financial Crimes Compliance Testing Department, including internal and external stakeholder communications, execution, and reporting against goals, objectives, and initiatives, and accountability for the quality and judgment calls in resulting deliverables.

This position will more specifically:

• Lead a practices team devoted to enhancing the effectiveness and efficiency of the Global Financial Crimes Compliance Testing function globally

• Develop annually a global risk-based financial crimes compliance controls testing schedule in collaboration with Regional Financial Crimes Compliance Testing units

• Develop and maintain Global Financial Crimes Compliance Testing standards

• Develop and maintain effective controls testing procedures, tools, and protocols, including sampling methodology and test scripts that drive compliance testing processes

• Develop analytical support processes to aid test planning, scoping, and execution

• Execute quality control processes that drive adherence to the Global Financial Crimes Compliance Testing program standards and protocols across testing units globally

• Develop and execute effective training and associated materials in support of enhancing skills and abilities of Global Financial Crimes Compliance Testing Department staff globally


• Ten or more years of financial crimes compliance testing, audit, or regulatory examination experience, including significant management and leadership responsibility

• Proven ability to lead testing, audit, or regulatory examinations teams to evaluate financial crimes compliance program design and effectiveness

• Extensive financial crimes compliance subject matter knowledge and experience in application of financial crimes compliance controls, including transaction monitoring and transaction filtering systems

• Proven track record in implementing controls testing processes in a global financial organization

• Extensive experience in the financial industry and related markets, related regulatory bodies, and current industry events, trends, and regulatory focus

• Extensive knowledge and experience of compliance testing, audit, or regulatory examination operations; risk assessment processes; testing methodology, including sampling techniques; and quality assurance practices

• Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)

• Strong analytical and problem solving skills

• Strong verbal and written communication skills

The incumbent is expected to have significant, demonstrated, technical proficiency in financial crimes testing, audit, or examination experience; excellent communication skills; and must provide thought leadership and vision in the development of the financial crimes testing program. The incumbent must also possess excellent information generation / presentation (technical, influence) and coaching/training skills; and communicate effectively with senior management regionally and globally.

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 & Compliance

Title: Global Financial Crimes Compliance Testing Practices, Director

Location: NEW YORK-New York

Requisition ID: 10027177-WD

Other Locations: ARIZONA-Tempe