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MUFG Union Bank Senior Compliance Officer, Vice President - Hybrid/AZ 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. Across the globe, we’re 180,000 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.

This is a hybrid position. There are flexible work from home options available. A member of our recruitment team will discuss the options with you in more detail.

Ensure compliance for a group of assigned compliance focus area(s), and communicate this information to line compliance personnel, either directly or through one to three supervised compliance coordinators. Focus areas & scope include a specific compliance area(s), as well as oversight for other assigned areas, both frequently technical and complex (ex: IT Compliance, CRA, QC, etc.), which typically has at least division level impact of error, and has a moderate to significant effect on the Bank's overall operations, public image, regulatory evaluation, etc. Advise executive and line management on emerging compliance issues, and assist subordinates and line unit compliance officers in establishing policies, procedures and controls.

Major Responsibilities:

  • Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s)and ensure that any subordinates, and line managers in area of responsibility are adequately informed

  • Ensure that changes necessitated by new or revised laws and regulations impacting the area of responsibility, including changes in policy and procedural manuals, are made in a timely manner

  • Ensure that compliance issues raised by new products or operating system changes are adequately evaluated and addressed prior to implementation

  • Set minimum standards for compliance testing, ensuring that compliance issues are brought to the attention of the Group/Division executive

  • Coordinate regulatory examinations of assigned compliance focus area(s) by federal regulators or other internal or external auditors.

  • Propose corrective action plans, keep Group/Division executive informed and involved

  • Recommend to Group/Division executive corrective action and ensures that it is accomplished Provide technical assistance, training, information, and analysis to subordinates and line compliance personnel

  • Keep Compliance Team Leader and/or Chief Compliance Officer informed of compliance issues Prepare and potentially present reports to management regarding status of compliance in areas of compliance focus

Requirements:

  • Typically requires a minimum of 6 years of direct compliance experience, including leading regulatory exams.

  • Typically requires a BS or BA degree with prior management or team leader experience helpful Excellent communication, presentation, analytical, and project management and consulting skills Superior leadership and consulting skills

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 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.

Some MUFG roles require that individuals be fully vaccinated against COVID-19, subject to exemptions for medical or religious reasons, as well as any other reason required by applicable law or order. Should you be selected for an interview, your recruiter will provide additional information.

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