Global Financial Crimes Technology Advisory, Risk and Controls Compliance Officer- Vice President

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.

This position reports into the Advisory, Risk and Controls pillar of the Global Financial Crimes Division (GFCD) HQS Technology team. This position will support the Bank’s GFCD compliance program, specifically focusing on the development and maintenance of Standards, procedures and guidelines for Financial Crimes Compliance (FCC) and Core Compliance (CC) systems supporting primarily Sanctions, Know Your Customer (KYC), Anti Money Laundering (AML) prevention, Electronic Surveillance and Control room functions. This position will engage in governance activities and oversight over these systems, providing advisory support, engaging in special projects, and completing related activities including compliance reviews, training, vendor management and access support as appropriate.  This position requires strong written and verbal skills, experience with Financial Crimes programs, internal controls and the ability to communicate effectively across all levels and regions.      

Along with this experience, the ideal candidate is experienced with Financial Crimes programs including operational processes, technology, internal controls and regulations and can apply this experience to support governance practices. Ideally, the candidate has prior experience working with vendors and knowledge of vendor risk assessments. Experience with audit and exam management is helpful.   

Major Responsibilities:

• Development and maintenance of governance documentation including Standards, frameworks, procedures and guidelines establishing requirements and governance practices over systems used to support financial crimes and compliance program activities.
• Provide governance, oversight and advisory support to global, regional and local team members ensuring that appropriate governance is maintained over Fin Crime and Core Compliance systems.
• Ensure activities and deliverables required as part of the governance program are conducted appropriately, timely and are well documented.         
• Provide internal control advisory support to GFCD Technology and business partners on development activities, ongoing processes, and emerging risks.    
• Proactively identify potential risk and control issues; develop and effectively communicate sustainable solutions; direct and implement as appropriate.
• Coordinate vendor management activities for GFCD Technology and Innovation engagements.
• Maintain records for governance documentation.  
• Collaborate with other Global and regional colleagues in developing strategies and driving initiatives supporting the GFCD Technology program and business partners.
• Assist Global colleagues to develop and implement control improvements.
• Manage requests for information from examiners, auditors, and internal compliance testing teams, coordinate with subject matter stakeholders to collect, review, and submit responses.  
• May be assigned to lead initiatives/projects supporting governance over FCC/CC systems  

Qualifications:

• 7 years of financial crimes experience.   
• Ability to apply technical understanding to practical problems, to recognize issues and to effectively communicate a course of action.
• Ability to translate AML/BSA and Sanctions compliance concepts to system functionality and/or business process.
• Experience working in a global, dynamic environment, the ability to work independently under tight time constraints and the ability to multitask across simultaneous initiatives.
• Proven excellence in problem solving in a complex, demanding, and fast paced environment.
• Self-starter with strong collaborative, analytical, written, and verbal communication skills.
• Process oriented, ability to apply good judgement and negotiating skills and to work across all levels.
• Strong interpersonal, collaborative and leadership skills.
• Advanced MS Excel and PowerPoint skills

Additional Skills:  

• Experience in compliance, legal or risk functions.

Education:

• Bachelor’s Degree or equivalent work experience in compliance, legal or risk functions.

The typical base pay range for this role is $122,000 to $166,000 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.