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MUFG Union Bank Senior Compliance Officer, Vice President in Tempe, Arizona

Senior Compliance Officer, Vice President - 10044800-WD


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 2020). In the Americas, we’re 13,000 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.

Some MUFG roles require that individuals be fully vaccinated against COVID-19, subject to medical and/or religious exemptions, if applicable. Should you be selected for an interview, your recruiter will provide additional information

Job Summary:

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

  • 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

  • Complete Compliance Risk Assessments for Fair Lending and UDAAP

  • Analyze settlements impacting the area of responsibility, including identifying needed changes to policy, procedures, and practices.

  • 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

  • May direct the work of lower level staff.



  • BA or BS is preferred, and professional CRCM certification is highly desirable.

  • Minimum of 5 to 7 years experience in lending regulatory compliance, including leading regulatory exams, or equivalent banking work experience in the regulatory compliance area.

  • Extensive knowledge of lending laws and regulations, focusing on Fair Lending and UDAAP. Knowledge of HMDA and CRA is a plus.

  • Strong ability to analyze, communicate, and make recommendations effectively regarding complex laws and regulations to line personnel and senior management.

  • Excellent communication and presentation skills

  • Strong analytical and project management skills

  • Superior leadership and consulting skills, with prior management or team leader experience helpful

  • Intermediate to advanced knowledge of Microsoft Office

Join us as we evolve our organization to become

more agile, innovative and inclusive!

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

Job Posting : Jul 8, 2021, 12:23:58 PM

Shift: : Day

Schedule: : Full Time

Req ID: 10044800-WD