- BS/BA degree with 7-10 years of compliance or risk management experience in the banking industry with emphasis on regulations impacting corporate services e.g., risk management, technology, operations, finance, and strategy.
- Knowledge of assigned business area and demonstrated work experience in developing and maintaining a compliance oversight for a business area.
- Experience drafting responses to bank regulators.
- Experience working with audit and creating responses to audit requests.
- Understanding of US wholesale banking regulations issued by OCC and FRB.
- Working knowledge of other laws, regulations, and legislative processes.
- Demonstrated ability to manage multiple tasks and strong project management skills.
- Well-developed oral and written communication skills.
- Interpersonal skills necessary to interact effectively at all levels of the organization, including Bank staff, management, directors, and regulatory examiners.
- Ability to read and interpret information written in a highly technical and legalistic format.
- Solid judgment, strong negotiating skills, and a practical approach to implementation – including knowledge of bank systems.
- Ability to work autonomously and initiate/prioritize own work.
- Ability to prioritize regulatory requirements within the best interests of the Bank and its customers.
- Ability to professionally partner with management and other business partners to successfully execute compliance program requirements.
- A collaborative team player and active participant in shared projects.
- Active leadership approach to solving problems and unwavering desire to support and partner with team members and peers.
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Compliance Officer – Corporate Function Compliance, Vice President - Irving, United States - MUFG
Description
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.This function covers incumbents who are responsible for ensuring that all of the firm's activities follow rules and regulations. Incumbent at this level is knowledgeable of day-to-day activities of a product or processes. Individuals at this level understand the wholesale banking industry as they relate to the firm's different businesses or corporate functions.
Execute responsibilities identified in compliance risk management framework (CRMF) governance requirements. This includes but is not limited to monitoring of compliance risk, managing or overseeing compliance issues and identifying compliance weakness by reviewing products, processes, procedures or controls and related documentation and reporting. Identify, review, and manage inventory of regulatory requirements that apply to the Bank by engaging with Compliance Practices group. Execute annual compliance risk assessment (CRA) process in accordance with CRMF requirements. Use monitoring, testing and deep dive risk assessments as a tool to achieve comprehensive compliance oversight of an assigned business unit (BU).
Partner with the BU's first line risk management (BURCOs and BURMs) that BUs mitigate compliance risk by establishing controls, procedures, and processes.
Establish, own, and manage compliance standards for which Americas Compliance is responsible. This includes review for possible revisions based on the results of annual compliance risk assessment.
Experience
The typical base pay range for this role is between $126k-$164k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonuses 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.
