Americas Quality Assurance (QA) Execution, VP

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

The Americas GFCD QA Execution Lead role reports directly to the Head of Americas GFCD QA, and it forms part of the Americas GFCD QA leadership team. This role will be responsible for leading Regional Americas GFCD QA Execution over key financial crimes controls (AML and Sanctions) in Americas. This position oversees and leads the Americas GFCD QA Execution function, including managing team members, prioritizing workloads, quality control, absences and leave, training, coaching, and career development. Importantly, it includes developing initiatives to maintain team morale and sustain motivation across the function. The role holder will be a role model through leading by example and may need to support more junior members through coaching and mentoring.

Major Responsibilities:

• Delivery of output by the Americas GFCD QA Execution function, including meeting target dates and deadlines.
• Quality of output by the Americas GFCD QA Execution function, including the completeness and accuracy of the work.
• Escalating identified risks or issues to the Head of Americas GFCD QA in a timely manner.
• Completing issue actions on time where the role holder is the action owner.
• Completing mandatory training on time, including the role holders and team members.
• Achieving annual personal objectives or escalating risks to achieving the annual personal objectives to the Head of Americas GFCD QA in a timely manner.
• Maintaining technical and non-technical personal development to meet the demands of the role.
• Effectively managing a team of analysts responsible for executing QA reviews over sanctions and AML control processes.
• Drafting, refreshing, and maintaining the Americas GFCD QA Execution components of Americas GFCD QA operating manuals.
• Drafting, refreshing, and maintaining the Americas GFCD QA Execution annual plan.
• QA execution and overseeing the deployment over regional GFCD-owned FC controls to QA functions across the region.
• Implementation of a coordinated, consistent, and risk-based AML and Sanctions QA program.
• Articulating and establishing the allocation of roles and responsibilities among QA Reviewers in accordance with the Global FCC QA Methodology.
• Communication of the QA review results to stakeholders in a timely manner.
• Managing offend-to-end execution of QA reviews, including planning, scoping, executing, escalating, and reporting, in accordance with the Global FCC QA Methodology.

Qualifications:

• Significant experience in Financial Crimes Compliance QA and leading a team with direct reports.
• Prior financial industry and compliance experience, preferably within a global organization in a role directly involved with AML and/or Sanctions operational activities.
• Experience interacting with executive management, control function leadership, and compliance subject matter experts.
• Strong working knowledge of QA concepts including: sampling, stratification, QA testing, and QA MI.
• Thorough understanding of an effective financial crimes risk management framework.
• Excellent written and verbal communication skills.
• Advanced Microsoft Office skills, with particular strength in Excel.
• Strong decision-making skills and ability to exercise sound judgement.
• Proven excellence in execution in complex and demanding situations.
• Ability to provide clear direction to a team.
• Collaborative with strong interpersonal communication skills and ability to lead a team.
• Process oriented coupled with ability to develop appropriate program enhancing strategies.

Education:

• BA or BS Degree (equivalent professional experience may be considered in lieu)
• Financial crimes risk management or control design and evaluation related certifications.

The typical base pay range for this role is $107,000 to $152,000 depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.

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 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.