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Compliance Testing Standards and Operations Support, Director

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  • Requisition # 10033236-WD
  • Job Type Day
  • Location Tempe, ARIZONA
  • Date Posted 04/07/2020

Your potential. Your opportunity.

Description

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 2018). In the Americas, we’re 14,000 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. 

Job Summary:


Reporting to the Head of Core Compliance Testing – Supporting the Americas Compliance Testing Program for MUFG Americas (banking offices located in the United States, Canada, Mexico and Latin America).  Working closely with the Head of Core Compliance Testing, oversee the development and implementation of compliance testing standards for the Americas Compliance Testing Program, which establish standards consistent and in line with regulatory expectations for testing being performed by various groups within the Americas Compliance Testing organization.  The role will also be responsible for ensuring strong connectivity the Compliance Practices Risk Assessment Program in order to develop the tools and methods necessary to adequately assess testing coverage needs and available capacity across all entities, including the facilitation of developing a 3-4 year plan.  In addition, the position will oversee the quality assurance function of the team as well as other operational support tools and processes such as template and procedure maintenance, a training program and management reporting. 

Major Responsibilities:

  • Develop, implement and maintain common standards for the Core Compliance Testing Policy and Program.  Ensure testing procedures, job aids, common scripts, and templates support and adhere to standards set forth in the Program as well as with Global standards. 

  • Develop and oversee the method in which core compliance testing coverage is assessed and execute a capacity assessment based on testing frequency standards. 

  • Work closely with Compliance Practices teams to ensure that connectivity is maintained where certain Compliance Programs intersect (e.g. Risk Assessment, Monitoring, Regulatory Change Management, etc.).

  • Support and assist the Head of Core Compliance Testing in the overall governance of the Test Plan, including escalations of matters that impact the completion of the overall Plan.

  • Oversee and support the execution of quality assurance on tests completed by team members to assess adherence to testing standards.  Ensure appropriate routines and follow-through are established where results of QA can guide training or process adjustments. 

  • Influence and contribute to executive management and committee reporting.
  • Maintain awareness of current industry rules, regulations and best practices to ensure that the testing program meets regulatory standards.
  • Serve as point of contact for bank regulatory agencies and internal audit on compliance testing matters.  Represent for the Head of Testing on various executive management routines and Global initiatives.
  • Lead key Compliance Testing Program initiatives to support continual enhancement of the function, including the use of technology solutions.

  • Support the Head of Compliance Testing with the development of management reporting, including program updates, results of quality assurance reviews, and status of key initiatives. 

  • Other projects as assigned, which primarily relate to supporting operations of the testing teams and other key compliance program initiatives.

Qualifications

Qualifications
  • Minimum 10+ years of general compliance and/or audit/testing-related experience with a general understanding of U.S. banking laws regulations and risk management functions

  • Ability to work with minimal supervision, well-organized with strong attention to detail and superior documentation, writing, and communication skills.

  • Demonstrated ability to maintain collaborative and productive relationships with business partners, including the ability to interact with senior management across the organization

  • Strong attention to detail and ability to manage multiple priorities

  • Experience with development of capacity models and / or related assessments

  • Duties require strong analytical, critical thinking and computer skills. Working knowledge of Excel, Word, relevant software or database programs

  • Strong academic credentials – minimum BA or BS degree from accredited university in business, finance, computer science, mathematics or related field preferred.  Professional certifications such as Certified Regulatory Compliance Manager, Certified Internal Auditor, etc. is a plus.


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 Risk
  • Primary Location Tempe, Arizona
  • Shift Day
  • Schedule Full Time
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