Corporate Function Compliance, AVP

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.

Overview

The Compliance Professional, Assistant Vice President (AVP) – is responsible for identifying, assessing, monitoring, and overseeing compliance risk, ensuring adherence to regulatory requirements through risk assessments, monitoring, issue management, and policy governance, while providing independent challenge and advisory support to the business. The AVP will collaborate with business unit stakeholders to identify, mitigate, and remediate compliance risks. This role plays a critical role in ensuring the Chief Financial and Strategy Office meets regulatory expectations and Company’s Policies requirements.

Responsibilities

• Provide Compliance coverage and oversight to the Chief Financial and Strategy Office, including subfunctions such as Enterprise Reporting & Analytics, Financial Planning and Analysis, Corporate Workplace Solutions, Controllers and Tax Services, Procurement and Accounting, among others.
• Provide independent second line of defense oversight of assigned Corporate Function as first line of defense, providing compliance advisory and credible challenge in accordance with the Compliance Risk Management framework.
• Maintain updated inventory of applicable laws, rules, and regulations, including but not limited to regulatory change management.
• Ensure business unit processes align with regulatory expectations through monitoring and oversight activities.
• Execute annual compliance risk assessments summarizing results into a comprehensive report.
• Track, support, and provide oversight of remediation efforts and open issues.
• Develop, maintain, and update assigned compliance standards and policies.
• Review third party vendor engagements for regulatory risk exposure.
• Prepare responses to regulatory exams (e.g., OCC, FRB), audits, and internal reviews by providing compliance artifacts, documentation, and data extracts as required.
• Collaborate with management and other business partners to successfully execute compliance program requirements

Experience

• 5–10 years of experience in compliance, risk, audit, legal, banking, or related financial industry roles.
• Working knowledge of financial and regulatory reporting laws, requirements, and regulations.
• Experience providing Business Unit oversight and compliance advisory or managing regulatory expectations for financial institutions.
• Strong coordination skills with the ability to work across multiple teams and stakeholders.

Preferred Qualifications

• Experience overseeing the preparation, review, and submission of regulatory reports.
• Exposure to exam management or compliance risk management support activities.
• Understanding of US wholesale banking and experience maintaining strong process governance and control frameworks issued by the OCC and FRB.

Education

• Bachelor’s degree or equivalent combination of education and experience.

Other

The typical base pay range for this role is between $97,000-$122,000 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.

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.