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MUFG Global Corporate & Investment Banking – Compliance Officer, 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 7th largest financial group in the world. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

The Compliance Officer will be a member of the Global Corporate & Investment Banking Compliance team with the objective of providing compliance support, guidance, and oversight to MUFG Bank’s Global Corporate & Investment Banking (“GCIB”) business unit.

Roles and Responsibilities:

The Compliance Officer will assist in the management of a robust compliance risk management program, covering GCIB activities, that fosters a strong culture of compliance.

The Compliance Officer role includes the following:

  • Advisory activities (i.e., activities to provide compliance advice to business areas as well as assisting to resolve regulatory issues),

  • Oversight activities (i.e., activities to provide oversight of each unit's compliance program on-site and off-site to assess the suitability and quality of expected compliance-related activities),

  • Compliance monitoring, analysis, and assessment (i.e., activities to identify and assess applicable laws, regulations, and other regulatory requirements),

  • Facilitation (i.e., activities to serve as a first point of contact (including for escalation) for the business lines supported),

  • Governance (i.e., activities to establish the processes and enforcement mechanisms that ensure compliance of applicable laws, rules, regulations, and policies),

  • Reporting and Training.

Although Compliance Officers must remain appropriately independent from the business lines that they cover, they are expected to help foster a strong culture of compliance both within their assigned business lines and throughout the Company. Compliance Officers serve as independent compliance advisors to the heads of their assigned business lines.

The Compliance Officer responsibilities include the following:

  • Regulation identification, analysis, and change management; policies, procedures, and training development and deployment; business unit, product/service, third-party, or new business initiative risk assessments; monitoring; reporting; and regulator relationship management.

  • Compliance risk mitigation, including compliance controls design and implementation.

  • Timely closure of GCIB and Compliance open issues (related to core compliance topics).

  • Lead miscellaneous and related assigned projects, such as leading aspects of Marketing Compliance and Cross-Border Activities Compliance, and supporting GCIB Corporate Priority Initiative

The right candidate will have:

  • 6+ years in banking compliance experience.

  • Extensive knowledge of banking and securities regulations and environments.

  • Bachelor's degree is preferred, MBA or relevant graduate degree a plus.

  • Compliance certifications (e.g., ACAMS, CRMC) or securities certifications (i.e., Series 79 and 24) a plus.

  • Excellent interpersonal, communications, organizational, and time management skills. Strong analytical and research skills. Ability to self-manage.

The typical base pay range for this role is between $120k-$150k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.

At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!

Our Culture Principles

  • Client Centric

  • People Focused

  • Listen Up. Speak Up.

  • Innovate & Simplify

  • Own & Execute

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