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MUFG Union Bank Regulatory Business Control Group Manager, Vice President (Remote) in Phoenix, Arizona

Regulatory Business Control Group Manager, Vice President (Remote) - 10044160-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.

Reporting to the Consumer Lending Operations Support Manager, the Regulatory Business Control Group Manager is responsible for the day-to-day management of initiatives, work assignments, procedures, and staff efforts focused on regulatory compliance within Consumer Lending Originations. Responsibilities include building effective partnership with the UB Compliance Group, Legal, BURM, IRMG, and all affected business units to ensure compliance with regulations and timely development and implementation of compliance risk-mitigation controls. Works with appropriate partners and staff to resolve compliance risk issues identified by self, management, UB Compliance Group, IRMG, regulators, or outside auditors. Has a significant effect at division or group level, and has a moderate to significant effect on the Bank's overall operations, public image, regulatory evaluation, etc. Develop and produce monthly reports for executive management. Advise executive and line management on emerging compliance risk issues, and assist Consumer Lending Originations in establishing policies, procedures and controls as an Individual Contributor.

Major Responsibilities: (35%) Responsible for strategic and tactical development and implementation of processes required to be in compliance with all new and existing regulations. Lead and manage the Regulatory Business Control staff to ensure effective monitoring of all areas of regulatory risk within Consumer Lending Originations. Set minimum standards for “first line of defense” regulatory risk testing and monitor results, as well as provide an ongoing assessment of the divisions regulatory risk mitigation efforts. Initiate and complete testing, special project assignments, such as due diligence examinations, task force projects, or special ad hoc reviews delegated by management. Maintain effective working relationships with line management, and provide technical assistance, training, information, and analysis to Consumer Lending business line personnel. Prepare and present reports to management regarding status of compliance in areas of regulatory risk. Work independently to create/maintain databases and/or comprehensive status reports for providing compliance-focused information to executive and line management as well as other compliance management areas of the bank. Monitor status of all identified compliance issues. Keep up-to-date on changes in laws and regulations impacting the assigned regulatory risk focus area(s) and promptly communicate this information to Consumer Lending business line personnel, and/or executive management. Provide technical expertise as needed to implement the changes. Work with UBCG, IRMG, various business units and multiple loan origination systems to ensure actual and procedural compliance with existing bank, regulatory, and investor requirements. (30%) Research for and consult with all business and compliance stakeholders regarding compliance aspects of new Consumer Lending Originations projects and initiatives. Engagement in all Consumer Lending Originations initiatives during development, UAT, report creation, and post-implementation QA phases. (25%) Manage and provide guidance to Regulatory Business Control Managers; responsible for all management activities including: hiring, performance management/reviews, scheduling of work; counseling/coaching for performance issues; promotions; termination. (10%) Proactively test and investigate for ad hoc issues and potential risks.


Excellent ability to analyze, communicate verbally or in writing and make recommendations effectively regarding complex laws and regulations to line personnel and senior management. Demonstrate superior leadership, consulting, presentation and project management skills. Must have the ability to review programs and changes from a strategic perspective and develop tactical implementation plans. Strong written and verbal communication skills, as well as excellent interpersonal skills are needed.

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 : Operations

Primary Location : CALIFORNIA-Sacramento

Other Locations : WASHINGTON-Olympia, ARIZONA-Phoenix, OREGON-Salem, TEXAS-Austin

Job Posting : Jul 23, 2021, 2:17:20 PM

Shift: : Day

Schedule: : Full Time

Req ID: 10044160-WD