Americas Core Compliance Testing - Corporate Regulations and Compliance Program Testing, Vice President

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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 120,000 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.

Job Summary :

As a key member of the Regulatory Compliance Risk Management function, this influential senior position involves developing and executing a robust compliance testing program to meet escalating regulatory standards.

The focus will be on Federal and State laws, regulations, and supervisory guidance within the Compliance Risk Inventory.

Collaborating closely with the Head of Compliance Testing, Chief Compliance Officer, and other key stakeholders, you will play a pivotal role in delivering an effective second-line of defense testing program that aligns with senior management and regulatory expectations.

Major Responsibilities :

Conduct control evaluation reviews and tests across all entities, adhering to the enterprise-wide testing program.

Develop comprehensive test programs to assess control structure, environment, and effectiveness of existing controls.

Execute test programs independently or as part of a team, supervising and reviewing the work of others.

Identify control and compliance issues, assess associated risks, pinpoint root causes, and provide reasonable recommendations for resolution.

Maintain ongoing communication with clients throughout the testing process, keeping them informed of progress and findings.

Prepare well-documented reports summarizing Objectives, Scope, Findings, and Conclusions for each assigned review.

Ensure all work is conducted and well-documented in accordance with established department procedures.

Qualifications :

5 + years of experience in audit, regulatory examination, compliance testing, or a related capacity.

3 + years of experience in the commercial banking and financial sector, with a focus on Federal and State laws, regulations, and supervisory guidance, risk management, or related disciplines, particularly around Data Privacy and Protection.

Strong presentation and written communication skills, with the ability to interact and influence senior executive management.

Ability to multitask and thrive in a dynamically changing environment.

Demonstrated ability to cultivate cooperative, collaborative, and productive business partnerships.

Strong academic credentials, minimum BA or BS degree from an accredited university; professional qualifications such as Certified Regulatory Compliance Manager or Certified Internal Auditor preferred.

Bilingual skills in Spanish, Portuguese, or Japanese are advantageous but not mandatory.

The typical base pay range for this role is between $120k-$150k 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.

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.