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


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:

Americas Compliance Testing (ACT) is an integral part of the Bank’s Regulatory Compliance Risk Management function. This position executes a compliance testing program designed to meet heightening regulatory standards and expectations pertaining to federal and state laws, rules, regulations, and supervisory guidance overseen by Americas Compliance group. This position will work closely with ACT teammates and various key business partners to deliver an effective second line of defense testing work that meets senior management and regulatory expectations.

Major Responsibilities:

Execution of compliance testing activities including planning/scoping, creating test scripts, document with supporting workpapers, and draft compliance testing reports.

  • Identify and assess design and effectiveness of key business line processes and controls related to subject matter tested.

  • Identify issues and conduct meeting with first line partners to communicate testing activities and conclusions.

  • Review proposed solutions and provide credible challenge where necessary.

  • Maintain effective working relationships with business line and compliance partners and keep them apprised of progress and any findings.

  • Write clear, concise, and persuasive evaluation reports and other workpapers summarizing level of risk, scope, objective, findings, and recommendations, consistent with the established procedures and templates.

  • Adhere to the Bank’s risk vision, and risk management policies and programs, and identify and appropriately manage risk.

  • Support testing leads in execution of all responsibilities listed above and/or occasionally lead moderately complex compliance reviews.


  • Minimum of three years of compliance/risk management experience or equivalent banking work experience in regulatory compliance, audit, or other related area of banking

  • Demonstrated knowledge of compliance and risk management principles related to banking laws, rules, regulations, and best practices related to wealth management (including personal trusts and investment management) and institutional trust and custody services.

  • Proficient research, analytical and writing skills required. Ability to analyze processes and identify risk including assessing changes in processes, making recommendations, and communicating results both verbally and in writing.

  • Preferred knowledge of Regulation 9 and corresponding OCC Handbooks related to asset management, custody and fiduciary services ; Trust Indenture Act; SEC Rules related to investment advisory services; and applicable IRC regulations related to wealth management.

  • Strong academic credentials – minimum BA or BS degree from an accredited university.

  • Accredited professional certification preferred - such as CRCM, CFIRS, CTFA, CIA.

  • Capacity to act both as an individual contributor who is self-motivated and to serve as a team member.

  • Ability to recognize and proactively address risk associated with tested laws, rules and regulations.

  • Proficient in Microsoft Office Suite of applications including spreadsheet protocols, and SharePoint.

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 be en convicted of, or received a pretrial diversion for, certain offenses.

Job: Compliance

Primary Location: ARIZONA-Tempe

Shift Day

Req ID: 10036655-WD