MUFG Americas

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Senior Business Compliance Officer, Vice President

at MUFG Americas

Posted: 5/15/2019
Job Status: Full Time
Job Reference #: 10027298-WD-SECONDARY-45
Keywords: banking

Job Description

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we're 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that's working to fulfill its vision to be the world's most trusted financial group.


Job Summary:

Working within the Company's Regulatory Compliance Risk Management function, develop and execute a compliance testing program designed to meet heightening regulatory standards and expectations pertaining to Federal and State laws, regulations, and supervisory guidance overseen by the compliance group and is generally contained in the Compliance Risk Inventory. This influential senior position will partner closely with the Company's Head of Compliance Testing, Chief Compliance Officer, and other key business partners to deliver an effective second-line of defense testing program that meets senior management and regulatory expectations.


Major Responsibilities:

  • Perform control evaluation reviews and test in accordance with the enterprise-wide testing program.

    • Develop test programs that 1) identify and assess the design of the control structure and environment, and 2) test the existing controls to ensure they are effective and functioning as management intended.

  • Work either independently or as part of a team, execute testing programs and/or supervise the work of other Analysts that may be assisting on a review.

  • Identify control and compliance issues, assess and document the related risk, identify the root cause and make reasonable recommendations for resolution.

  • Perform ongoing communication with clients throughout the testing process to keep them apprised of progress and findings.

  • Prepare written reports that summarize the Objectives, Scope, Findings and Conclusions for each assigned review.

  • Conduct and document all work in accordance with established department procedures.

  • Minimum of 5 to 7 years' experience in audit, regulatory examination, compliance testing, or similar capacity;

  • Minimum of 3 to 5 year's experience within the banking and financial sector, with a focus on Federal and State laws, regulations, and supervisory guidance, risk management, or a combination of these disciplines;

  • Strong presentation and written communications skills; ability to interact with and influence senior executive management across the organization in order to achieve best practices and optimal business outcomes;

  • Demonstrated ability to develop and maintain cooperative, collaborative, and productive business partnerships;

  • Strong academic credentials minimum BA or BS degree from an accredited university, professional qualification such as Certified Regulatory Compliance Manger, Certified Internal Auditor, Certified Fraud Examiner, Certified Anti-Money Laundering Specialist or other related professional certification;

  • Bilingual: Spanish, Portuguese or Japanese skills are preferred but not required.


The above statements are intended to describe the general nature and level of the 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.

Application Instructions

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