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MUFG Union Bank GFCD, Americas Regional Testing Unit, Vice President in Tempe, Arizona

Description

Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group.

Job Summary:

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.

Major Responsibilities:

  • 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

Qualifications

Qualifications:

  • 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.

Job: Compliance

Primary Location: ARIZONA-Tempe

Schedule Full Time

Shift Day

Req ID: 10033327-WD

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