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Financial Regulatory Reporting and Analysis - Associate

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  • Requisition # 10038016-WD
  • Job Type Day
  • Location Oakland, CALIFORNIA
  • Other Locations CALIFORNIA-San Diego, CALIFORNIA-San Francisco, CALIFORNIA-Los Angeles, ARIZONA-Tempe
  • Date Posted 06/10/2021

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 (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:

The Regulatory Reporting Analyst, Assistant Vice President position reports to the Managing Director, Regulatory Reporting within the Controller’s and Tax Services (CTS) Department and is responsible for the review and governance of the Regulatory Reporting process, which includes analytical review of regulatory reports produced by the Reporting Shared Services (RSS) group to ensure compliance with regulatory requirements. The position also supports the Managing Director in oversight of control design and change management with respect to regulatory filings, supports executive governance over regulatory reports, and supports CTS in internal and external audits and examinations.

Major Responsibilities:

  • Review and governance of various regulatory filings.
  • Conduct second-level review of reports prepared by the RSS group- this second level review is focused on analytics, significant changes and exceptions, and is designed to complement the detailed workpaper review by RSS and enhance the accuracy and completeness of reporting.
  • Prepare executive review materials for regulatory reporting governance meetings.
  • Recommend procedural enhancements and identify controls for continuous improvement of the reporting process.
  • Ensure desktop procedures for the processes conducted within the CTS Regulatory Reporting Review and Governance team are adhered to, and are maintained current, accurate and, at the level of detail expected by the regulator.
  • Ensure strong internal control environment is maintained in accordance with department procedures and bank policy


  • Research and analyze regulatory reporting requirements and other accounting documents and stay abreast of changes in collaboration with the Regulatory Reporting Policy team.
  • Collaborate as a regulatory reporting subject matter expert with Regulatory Reporting Policy and RSS to assess the impact and review the implementation for regulatory reporting of regulatory/accounting changes, new products, mergers, acquisitions, and divestitures, or enhancement of existing processes. 
  • Ensure significant changes and issues are documented clearly and escalated in accordance with bank policy and procedures
  • Maintain strong communication with the RSS report production team, Business Unit Controllers and other subject matter experts and data providers to ensure reporting requirements are clearly understood
  • Support the Regulatory Reporting Training team to inform the development of the training program, and serve as a subject matter expert in the development of training materials

Ad Hoc:

  • Respond to internal / external inquiries regarding financial data reported or filed. 
  • Participate in the Risk Control Self-Assessment for assigned regulatory filings to identify and rate risks and mitigating controls
  • Support reviews and examinations by internal and external parties, including regulatory examinations, internal audits, compliance testing, and testing by Controls Assurance and Advisory, Quality Assurance teams and others
  • Perform other projects or duties as assigned.



  • Strong accounting and financial reporting experience (in banking/financial industry experience a major plus)
  • Accounting or finance degree is highly preferred
  • Minimum 7 years related experience, including a minimum of 3 years of experience preparing financial reports
  • CPA or Chartered Accountant, or equivalent, is strongly preferred
  • Big 4 public accounting experience is strongly preferred; financial services auditing experience is a plus
  • In-depth knowledge of banking regulatory reporting rules and regulations, and US GAAP
  • Excellent analytical and problem-solving skills
  • Excellent communication skills (both written and verbal) and interpersonal skills
  • Ability to work in cross functional teams
  • Strong capability to work both collaboratively and independently to meet tight deadlines, and flexibility in handling moving targets and multiple competing priorities
  • High proficiency in Microsoft suite of products – Word, Excel, PowerPoint

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.

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