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Regulatory Compliance - Human Resources, Vice President (Remote)

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  • Requisition # 10054016-WD
  • Job Type Full time
  • Date Posted 06/25/2022
  • Location Arizona - Remote Worker | New York City - Remote Worker | Texas - Remote Worker | California - Remote Worker | Chicago, IL - Remote Worker | North Carolina - Remote Worker

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 remote position. A member of our recruitment team will discuss location preferences with you in more detail.


The HR Regulatory Compliance Manager is responsible for implementation and oversight of the HR Compliance Risk Management Program, including compliance risk assessment, testing, monitoring, and reporting for HR Laws, Rules and Regulations. The HR Regulatory Compliance Manager will also assist with the regulatory change management process and the HR legislative/regulatory risk assessment process. The HR Regulatory Compliance Manager will support the Affirmative Action Plan management, EEO-1 and VETS 4212 filings.  The HR Regulatory Compliance Manager also contributes to other areas of the HR Risk & Control function as appropriate, including Operational Risk, Third Party Risk Management, and Business Continuity, particularly where a compliance-related view is needed.

Responsibilities include:

  • Performs compliance risk assessments including identification of compliance-related laws and regulatory guidance and assessment of controls to ensure HR department are meeting regulatory obligations
  • Monitor a variety of sources to identify regulatory changes to new and existing laws and regulations which may impact Human Resources. Regularly communicate and share findings with the appropriate HR departments
  • Identifying and tracking new laws and regulations and changes to existing laws and regulations which impact the Human Resources Division and monitoring the activities of the HR teams to fulfill requirements.
  • Monitor and track the completion of tasks needed to come into compliance. Provide reports of the status of implementation efforts to HR management.
  • Identify and monitor key metrics in HR and across the organization, particularly related to compliance-specific operational risk.
  • Assist with the completion of the bank’s annual Affirmative Action Plans, EEO-1 reports and VETS-4212 reports by preparing and gathering and analysis of internal data and partnering with a third-party provider to obtain and file the needed information.
  • For our Affirmative Action obligations, work with other areas of HR to ensure compliance with our EEO policy and with corresponding recordkeeping requirements. Serve as the subject matter expert in this area by remaining informed about OFCCP and EEOC initiatives.
  • Assist in resolving identified compliance issues and monitoring their resolution.
  • Serve as a liaison to Americas Compliance Division, Internal Audit, Legal, Third-Party Risk Management, Information Security, Business Continuity Management, Records Management, and Operational Risk Management for the topics listed above and/or other compliance risk/control related activities.
  • Ad Hoc Requests: Respond to RFPs on behalf of Human Resources for Bank business contract bids. Respond to Third Party Questionnaires for Bank clients. Complete quarterly and ad hoc Corporate Compliance assessments.


  • Requires a BA or BS degree and 7+ years experience in compliance or regulatory or related experience in legal, audit or other risk management functions within a financial institution, and 5+ years experience in Human Resources.
  • Must have solid understanding of Human Resources functions and possess strong knowledge of the compliance/regulatory requirements and inherent risks in a variety of HR functions.
  • High level of attention to detail and documentation requirements.  Strong interpersonal skills and customer service mindset; the ability to work collaboratively with various business partners and stakeholders.
  • Able to communicate effectively both orally and in writing, good presentation, analytical, project management and consulting skills.
  • Demonstrated skills in risk and control assessment and analysis.
  • Strong analytical skills, excellent communication skills, and good judgment.
  • Professional designations (CRCM, CAMS, JD, or other compliance or Audit certifications) a plus.
  • Excellent organizational 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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