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Global Financial Crimes Horizontal Testing Unit, Assistant Vice President

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  • Requisition # 10032808-WD
  • Job Type Day
  • Location Tempe, Arizona
  • Date Posted 01/23/2020

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 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.

Job Summary:

Responsible for supporting the Global Financial Crimes Compliance Testing (“GFCCT”) function in performing deep dives and targeted risk-based thematic reviews of financial crimes compliance (AML, Sanctions, ABC) processes globally with an emphasis on the design and effectiveness of measures (controls) taken to monitor and mitigate financial crimes risk.

Major Responsibilities:

• Assist in conducting and supporting financial crimes compliance reviews for MUFG branches globally, that evaluate the effectiveness of existing financial crimes compliance as well as the design and implementation of relevant controls, such as escalation processes, documentation of policies and procedures, reporting, list screening, regulatory change management, governance framework, and training.
• Assist in developing test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments and lessons learned from regulatory finding and internally identify issues by compliance testing and internal audit
• Assist in implementation of a coordinated, consistent and risk-based AML, Sanctions and ABC testing program
• Assist in developing and maintaining quality control processes to drive adherence to Global Testing Standards
• Assist in the drive of central coordination, governance, and reporting, leveraging regional structures and best practices
• Assist in preparing/reviewing reports summarizing the objectives, scope, findings and conclusions of completed testing
• Assist in the validation of Management Action Plans designed to address remediation efforts and testing review findings
• Assist in the coordination with Issues Management for monitoring and tracking resolution of financial crimes testing findings
• Monitor developments, such as changes in the regulatory environment, which may necessitate ad hoc testing
• Support general compliance activities and other duties, including special projects as assigned

Qualifications

Qualifications:

• At least 5 years of experience within the financial crimes area of a global bank, consulting firm or regulatory agency
• Experience with performing compliance testing, quality control/assurance processes or internal/external audits
• Minimum of 3 years of experience performing testing or exposure to quality control and/or quality management functions and results
• Knowledge of financial crimes compliance laws and regulations.
• Excellent judgment and analytical skills
• Experience working with compliance testing scripts and with performing testing reviews or audits
• Experience in working in diverse testing teams
• Strong written and verbal communication skills
• BA/BS Degree; JD,CPA, and/or CAMS a plus
• Some travel may be required, domestic and international

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