MUFG Union Bank GFCD, Americas Regional Testing Unit, Vice President in Tempe, Arizona
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Responsible for supporting the Global Financial Crimes Compliance Testing (“GFCCT”) function and leading, or participating on as an individual contributor, a testing team in performing deep dives and targeted risk-based thematic reviews of financial crimes compliance (AML, Sanctions, ABC) processes globally with an emphasis on the design and effectiveness of measures (controls) taken to monitor and mitigate financial crimes risk.
Lead, or participate on, a team of testers in conducting and supporting financial crimes compliance reviews for MUFG Bank, Ltd. branches globally, that evaluate the effectiveness of existing financial crimes compliance , as well as the design and implementation of relevant controls, such as escalation processes, documentation of policies and procedures, reporting, list screening, regulatory change management, governance framework, and training
Develop test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments and lessons learned from regulatory finding and internally identify issues by compliance testing and internal audit
Assist in implementation of a coordinated, consistent and risk-based AML, Sanctions and ABC testing program
Assist in developing and maintaining quality control processes to drive adherence to Global Testing Standards
Assist in the drive of central coordination, governance, and reporting, leveraging regional structures and best practices
Prepare/review reports summarizing the objectives, scope, findings and conclusions of completed testing
Assist in the validation of Management Action Plans designed to address remediation efforts and testing review findings
Coordinate with Issues Management to monitor and track resolution of financial crimes testing findings
Assist with establishing appropriate testing management routines and ensure proper awareness of testing review results through reporting and other means
Monitor developments, such as changes in the regulatory environment, which may necessitate ad hoc testing
Support general compliance activities and other duties, including special projects as assigned
BA/BS Degree; JD, CPA and/or CAMS a plus
At least 7 years of experience within the financial crimes area of a global bank, consulting firm or regulatory agency
Experience with compliance testing, quality control/assurance processes and/or internal/external audits
Minimum of 3 to 4 years of experience leading testing efforts in, or exposure to, quality control or quality management functions and results
Knowledge of financial crimes compliance laws and regulations
Excellent judgment and analytical skills
Test script/procedure creation and/or experience with the test scripting process
Experience in leading diverse testing teams
Strong written and verbal communication skills
Some travel may be required, domestic and international
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: ARIZONA-Tempe
Schedule Full Time
Req ID: 10033327-WD