Compliance Testing Manager – MUB Centralized Compliance Testing, Vice President
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
Working within the Company’s Regulatory Compliance Risk Management function, develop and execute a compliance testing program designed to meet heightening regulatory standards and expectations pertaining to Federal and State laws, regulations, and supervisory guidance overseen by the compliance group and is generally contained in the Compliance Risk Inventory. This senior position will partner closely with key business partners to deliver an effective second-line of defense testing program that meets senior management and regulatory expectations.
Major Responsibilities
Perform control evaluation reviews and test in accordance with the enterprise-wide testing program. Develop test programs that 1) identify and assess the design of the control structure and environment, and 2) test the existing controls to ensure they are effective and functioning as management intended. Work either independently or as part of a team, execute testing programs and/or supervise the work of other staff that may be assisting on a review. Identify control and compliance issues, assess and document the related risk, identify the root cause and make reasonable recommendations for resolution. Perform ongoing communication with “clients” throughout the testing process to keep them apprised of progress and findings. Prepare written reports that summarize the Objectives, Scope, Findings and Conclusions for each assigned review. Conduct and document all work in accordance with established department procedures.
Qualifications:
Qualifications
- Minimum of 5 to 7 years’ experience in audit, regulatory examination, compliance testing, or similar capacity;
- Minimum of 3 to 5 years’ experience within the banking and financial sector, with a focus on Federal and State laws, regulations, and supervisory guidance, risk management, or a combination of these disciplines; in Treasury, Finance, Controllers, Financial Reporting
- Strong presentation and written communications skills; ability to interact with and influence senior executive management across the organization to achieve best practices and optimal business outcomes;
- Ability to build and maintain cooperative, collaborative, and productive business partnerships;
- Ability to work under tight deadlines and successfully handle several tasks at one time.
- Strong academic credentials – minimum BA or BS degree from an accredited university, professional qualification such as Certified Regulatory Compliance Manger, Certified Internal Auditor, Certified Fraud Examiner, Certified Anti-Money Laundering Specialist or other related professional certification;
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.
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