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Americas Financial Crimes Exam & Audit Management, Vice President

Company: MUFG Union Bank
Location: Tempe
Posted on: September 13, 2020

Job Description:

MUFG is committed to the safety and well-being of our colleagues, clients, candidates, and the community as we manage the current COVID-19 pandemic. During this time, as we continue to recruit and hire exceptional talent to join our team, we are taking the necessary precautions to limit in-person contact, aligned with Federal, State, and local health recommendations and requirements. All interviews are being conducted remotely via Skype, FaceTime, or phone. Additionally, we have implemented remote on-boarding for new colleagues, as appropriate.

Thank you for your interest in exploring career opportunities with MUFG.

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 14,000 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.

Summary:

The Compliance Manager, Americas Financial Crimes Exam & Audit Management is the central point of contact for financial crimes regulatory exam and audit activities in the Americas region, and will play a key role in establishing processes and procedures to ensure uniformity in preparation for, and management of, financial crimes exams and audits.Functional responsibilities of the role will include leading regulatory exam and audit preparation activities; ensuring organization, clarity and accuracy of documentation and written responses; coordinating participation of exam and audit stakeholders across business units; developing and maintaining routines for reporting and communication of exam and audit activities.

Responsibilities:

Assist with and respond to Global Financial Crimes’ implementation of global financial crimes exam and audit framework;

Lead preparation of exam and audit engagement among Financial Crimes and Business stakeholders in the Americas region;

Process regulatory Supervisory Letters and formal requests for documentation and/or questions from regulators and internal auditors;

Establish and maintain routines and procedures in coordination with Global Financial Crimes Exam and Audit Management, as necessary, for the functional management of exam and audit engagements;

Ensure accuracy and clarity of documentation and written responses provided to regulators and internal auditors;

Coordinate participation and ensure preparedness of key exam and audit stakeholders across Financial Crimes and Lines of Business before, during and after on-site engagements;

Maintain records and communicate to Financial Crimes leadership statuses of exam and audit engagements and advise of issues identified or actions required;

Ensure timely escalation of potential or confirmed issues;

Monitoring significant regulatory and internal audit findings, including assisting managers with preparing responses and action plans.

Requirements: Bachelor’s degree or equivalent required.JD preferred;

Minimum 7-10 years’ experience in compliance and risk management;

Strong knowledge of BSA/AML and Sanctions banking regulations;

Strong written, verbal and comprehension skills;

Highly organized with the ability to manage multiple engagements concurrently, and act with urgency, when necessary;

Team player with ability to work collaboratively;

Ability to establish and maintain good relationships across different stakeholder groups;

Experience in large bank regulatory affairs or exam and audit management programs and/or management consulting, specifically in AML/Financial Crimes practices involving more complex Program-level engagements;

Proficiency with Microsoft Office suite (Word, Excel, PowerPoint);

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 / Affirmative Action 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 in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it’s the bank’s policy to only inquire into a candidate’s criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses

We are committed to ensuring that our online application process provides an equal employment opportunity to all applicants, including individuals with disabilities. If you are an applicant with a disability, or are assisting an applicant with a disability, and require accessibility assistance or an accommodation to apply for one of our jobs, please submit a request by telephone at 1-866-275-4717 or email us at AskHR@us.mufg.jp . Include your contact information and specific details about your requested accommodation.

We are proud to be an Equal Opportunity/Affirmative Action 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 in employment decisions on the basis of any protected category.

Keywords: MUFG Union Bank, Tempe , Americas Financial Crimes Exam & Audit Management, Vice President, Other , Tempe, Arizona

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