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MUFG Union Bank Compliance Officer, Vice President in Tempe, Arizona


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 Compliance Officer on Retail Bank initiative(s) is responsible for representing Deposit Compliance throughout the project lifecycle by providing guidance to the business and other stakeholders to ensure requirements enable the Bank to adhere to applicable consumer protection laws and regulations, applicable regulatory guidance, and industry standard methodologies. You work well with senior level management, compliance officers, the Legal Department and other subject matter authorities. You keep contemporary on emerging compliance risks and assist the business line and project team to respond to changes in the regulatory environment.

Major Responsibilities:

  • You provide deposit compliance support to the assigned Lines of Business (LOB) including identification and communication of changes to laws and regulations, training, risk assessments, policies and procedures, monitoring, testing and reporting

  • You attend meetings, review and approve various materials (i.e. project implementation materials, policies, procedures, process controls, etc.), prepare risk assessments, and issue status reports

  • You act as a key contact for compliance risk impacting the LOB engaging other compliance subject matter authorities, as needed, to help ensure effective compliance risk management

  • Document, track and report all compliance issues, and keep manager, project team, and Compliance Group informed as necessary

  • You keep up-to-date on changes in laws and regulations impacting the business divisions and project through education programs/conferences, trade publications, agency websites and emails

  • Promptly communicate changes to internal partners

  • Provide technical expertise as needed to implement regulatory changes

  • Assist in the development of communication plans for regulatory changes

  • You cross-train with designated line of business Compliance Officer(s) and provide support of: review of policies and procedures, risk identification and assessment, training, issues management, reporting, the review and approval of new products and services, creation of customer documents (i.e. disclosures for new products and services or change in terms), regulatory examinations and internal or external audits

  • You initiate and complete special project assignments, such as vendor due diligence compliance reviews, task force projects, or special ad hoc reviews or other assignments assigned by manager, Deposit Compliance Lead or Chief Compliance Officer


  • Typically requires a minimum of six years of consumer deposit compliance, audit or regulatory examiner experience or equivalent banking experience in deposit operations/risk management with an emphasis on regulatory compliance

  • Experience providing compliance requirements on large technology projects, especially those impacting Demand Deposit Account banking platforms preferred

  • A BA degree typically required, and professional certification in either CRCM or CRP is desirable

  • Knowledge of consumer regulations, banking/deposit compliance laws and regulations (including regulations D, E, CC, DD, UCC, ESign, UDAAP, Gramm Leach Bliley, TCPA, Fair Banking Principles, etc.)

  • Knowledge of third-party risk management principles a plus

  • Technical project experience essential

  • Effectively identify and communicate necessary system and process related requirements to mitigate regulatory risk and provide capability to perform regulatory testing and monitoring

  • Excellent written communications, coupled with strong technical writing and /or editorial skills and the capability to develop, document and maintain methodologies and procedures

  • Excellent oral communication with the ability to effectively advise line personnel and senior management regarding complex laws and regulations and to influence peers and colleagues

  • Demonstrate strong leadership, consulting, analysis, presentation and project management skills

  • Intermediate knowledge of Microsoft Office, including: MS Word, MS Excel, OneNote, MS Access

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: Risk & Compliance

Primary Location: CALIFORNIA-Woodland Hills

Other Locations: ARIZONA-Tempe

Schedule Full Time

Shift Day

Req ID: 10029302-WD