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Head of Business Corporate Technology Risk and Compliance Director - Hybrid/ Charlotte

Charlotte, NC

Tech at MUFG

MUFG invests in talent, technologies, and tools that put our clients' and colleagues' changing needs first. We are looking for resilient technologists who are driven and inspired to participate on this high-impact team.

Backed by the strength and stability of the world’s 5th largest financial institution, you'll help build a bank you’ll be excited to call yours.

Success Profile

What makes you successful in your technology career at MUFG?
Check out the top skills we’re looking for and see if you have the right mix.

  • Adaptable
  • Collaborative
  • Client-centric
  • Problem-solver
  • Forward-thinking
  • Agile


  • Client Centric
  • People Focused
  • Listen Up. Speak Up.
  • Innovate & Simplify
  • Own & Execute

Our People

Hear from Stephenia R. IT Solutions Manager

Job Description

Head of Business Corporate Technology Risk and Compliance Director - Hybrid/ Charlotte

  • Requisition # 10053836-WD
  • Job Type Full time
  • Date posted 06/27/2022

Your potential. Your opportunity.

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.

Job Summary

Manage risk management activities for Business Corporate Technology (BCT), creates BCT specific procedures for Regulatory/Risk management assessment process, including developing procedures.

Major Responsibilities

  • Perform risk management related responsibilities including: conducting quality review of business processes to ensure adherence to all policies and procedures 
  • Develops reports/dashboards to track Risk/Compliance issues across servicing and help desk. Also tracks OpenPage and Archer issues for BCT (Business and Corporate Technology)
  • Works with BCT teams to own “risk issues” and become single point of contact for BCT working with Risk, Information Security and Audit groups.
  • Assist BCT Teams with compliance requirements (including MRA controls) and develop mitigating plans for BCT to address these requirements
  • Responsible for participating with the Risk Management teams to plan, develop, and execute risk management activities for BCT
  • Generates BCT Dashboard/Reports on assessment findings and summarizes them to facilitate remediation tasks for BCT
  • Creates and updates BCT specific procedures for Regulatory/Risk management assessment process, including developing procedures
  • Experience in preparing reports and metrics on the status of completed assessments, progress of remediation actions and performance of the assessment tools
  • Works with internal risk teams to interface with the Regulators (OCC and FRB)
  • Knowledge in financial regulations and experience working with regulators  in developing risk mitigation strategies
  • Drive implementation and sustainment of information technology and information security control framework
  • Evaluate and benchmark technology process execution against outstanding standards. (COBIT, NIST 800-53, FFIEC etc.)
  • Manage the execution of front line controls self-assurance and risk assessment activities (ad hoc controls review, BPM, RCSA) and support independent risk and audit activities as needed
  • Provide consult on controls design and efficiency to technology partners in support their commitments to align with all applicable laws, regulations, and internal policies and procedures
  • You will drive risk culture; influence self-identification and disclosure of control self-assurance gaps. 
  • Ensure gaps are addressed via remediation plans that adhere to issues management mandates; timely issue and corrective action submission, accurate root cause identification, corrective action monitoring, on time closure, no failed validations, and no repeat issue
  • Monitor and evaluate emerging risk, internal operational trends, and external risk events for potential impact to control environment
  • Prepare risk analysis and risk mitigation recommendations
  • Support technology risk governance by ensuring our control environment performance is reported and has risk management plans in place for critical issues
  • Support the preparation of risk and controls governance materials as needed.
  • Design and lead implementation of key controls, industry standards, policies, and/or procedures within the transformation technology environment
  • Lead assessment of risk and control alignment with specific technology control frameworks and the internal risk, threat, and control library
  • Partner with transformation to continuously improve the overall risk posture of delivered features, functions, and capabilities
  • Participate in the development, design, and implementation of control testing and risk monitoring programs
  • Collaborate with business partners to facilitate remediation of identified risk and control issues
  • Engage with multiple stakeholders and collaborate with key business partners, risk management, and internal audit


  • Undergraduate degree plus 10 years in technology, information security, operational risk management, or related roles
  • Preferred: professional certifications such as Certified Information System Auditor (CISA), Certified in Risk and Information Systems Control (CRISC), Certified Information Systems Manager (CISM), Certified in the Governance of Enterprise Information Technology (CGEIT), CSX, Certified Information Systems Security Professional (CISSP), Information Technology Infrastructure Library (ITIL), Control Objectives for Information and Related Technology (COBIT), etc.
  • Cloud Service Provider (CSP) certifications desired (i.e. Amazon Web Services (AWS) Cloud Practitioner, AWS Specialty – Security), relevant professional certifications a plus
  • 10+ years of experience in  IT or operations risk & control or audit function
  • 10+ years of experience in information technology, information security, and/or operational risk management, (Includes operations, operational risk management, compliance, audit, and third-party risk management within technology and/or information security), or a combination thereof, or other highly regulated environment.
  • Deep working experience with regulations applicable to the banking and finance industry required
  • Experience with executing technology and/or information security risk assessment/testing methodologies, evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinations
  • Experience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, structured query language (SQL), Access, etc.)
  • Prior supervisory and or management role with a focus on talent development.
  • Experience in creation and review of work papers to document testing and/or issue closure and  experience in the management of regulatory matters
  • Experience with automating and/or the ability to conceptualize automated control solutions
    • Strong and diverse modern technology background and experience across diverse domains, illustrating the ability to drive transformation outcomes with specific focus on how to ‘enable’ them in a highly regulated enterprise industry context including:
    • Expertise with Cloud Service Providers (CSP) such as AWS and the cloud-based products, services and capabilities
    • Conceptual / working understanding of –
      • scripting languages such as Bash, Ruby, Perl and Python
      • continuous integration and continuous deployment (CI/CD) concepts, tools, and technologies including code repositories (e.g. Git), Jenkins and Maven
      • infrastructure orchestration, service registry/discovery, and configuration management tools, (e.g., CloudFormation, Terraform, Ansible/Puppet)
      • software containerization platforms/container orchestration tools such as Docker, Kubernetes, AWS Elastic Kubernetes Service (EKS) and Red Hat OpenShift
      • modern master data management, big data platforms, data streaming, analytics and reporting solutions (e.g., AWS Elastic Map Reduce (EMR))

  • Experience with information security risks, regulations or regulatory bodies, and security program frameworks, including COSO, COBIT, FFIEC, NIST, AWS well-architected, and ITIL
  • Deep understanding of information security best practices and implementation of security principles across global organizations, to meet business goals and legal/regulatory requirements
  • Knowledge of current and emerging cloud security trends, “as a Service” security and architecture concepts, including network segmentation, perimeter security, event monitoring; and remediation methods to bring cloud infrastructures into compliance for security compliance
  • Understanding of risk management, including experience executing risk assessments, testing and evaluating processes and controls
  • Strong project management skills; includes an ability to independently drive work, and pragmatically solve problems
  • Experience in working in an agile, scrum, or DevSecOps methodology including the Atlassian stack (Jira/Confluence) is preferred
  • Deep understanding of financial institution processes, products, and risk
  • Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management, and incident response
  • Preferred experience - "Big Four" IT audit experience; experience in a project management role
  • Excellent verbal and written communication skills, as well as organization and presentation 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. 

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Benefits & Total Rewards

  • Health Plans

    Numerous choices for medical coverage (HRA, HSA, and PPO), plus comprehensive prescription coverage, dental and vision. We pay most premium costs and contribute to your HSA or HRA annually.

  • Wellness

    Monthly financial and wellness webinars, on-site healthy living events and one-on-one personal coaching sessions.

  • 401(k)/Retirement Plans

    Competitive 401(k) employer match contributions with immediate vesting. Cash balance pension, defined benefit plan with 3-year vesting, fully employer-paid.

  • Education & Training

    Tuition reimbursement for most undergraduate, graduate, and job-related courses at regionally accredited institutions. Internal training programs/courses are also available.

  • Family-Friendly Care

    Programs and resources to support family wellness, including: maternity/paternity leave, parental bonding, adoption assistance program, dependent care and family medical leave.

  • Paid Time Off

    Vacation, sick leave, time off to volunteer, and federal holidays, as well as salary continuation during periods of qualifying disability.


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