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Governance, Risk and Compliance Manager, Vice President
at MUFG Americas
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) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we're 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that's working to fulfill its vision to be the world's most trusted financial group.
- Primarily an individual contributor would lead enterprise compliance initiative on regulatory inventory development and management.
- Define framework, process, policy and procedures for establishment, management and administration of the function
- Work with key stakeholders and entity CCO's and define scope of regulatory coverage.
- Work with sourcing team to define coverage and evaluate vendors
- Work with third parties to define and responsible for delivery of their product.
- Define project plan and ensure its timely completion.
- Perform all associated activities required in the plan for the group.
- Work with team members across the bank and perform regulatory inventory applicably assessment.
- Work with legal teams to ensure activities associated and owned by them are timely completed.
- Perform review of work product and responsible for delivery.
- Work with various CCO's across entities (or their representatives) and ensure implementation of the program,
- Ensure timely completion of all activities defined in the project plan and timely escalations to the management.
- Day today execution and management of activities including creation of inventory files, guides, coordination of assessment, compilation of assessment, resolution of issues etc.
- End to end management of project from planning, execution and delivery.
- Ensure work product meet quality standards and meet the requirement of the bank.
- Define methodology for definition and documentation of inventory including structure.
- Lead implementation of process across the various entities. Effectively liaise with key business partners in all divisions and regions to drive key regulatory compliance decisions and outcomes.
- Develop, deliver, and maintain standards, procedures, toolkits, and training, to support regulatory compliance GRC program effectiveness. Work with key business partners to assure procedure and control standardization
- Identify technology improvement opportunities and provide system requirements for enhancements to regulatory compliance GRC technologies.
- Conduct effective presentations to various levels of the organization, including 3rd party reviewers and senior management.
- Interface with Audit and bank regulators to explain and demonstrate the program created, and to satisfy GRC related information requests. Escalate and resolve risks and issues as required.
- Keep abreast of industry changes in GRC strategies, best practices, and technologies.
- Represent management in various committees.
- Strong project management skills
- BS or BA degree with prior management experience required; advanced degrees legal or business related fields are viewed favorably. Master's degree preferred
- 10+ years of compliance and/or risk management (Operational Risk, Compliance, or Audit) related experience within the financial industry.
- A good technical acumen is necessary.
- Prior experience with Open Pages preferred.
- Advanced knowledge of excel preferred.
- Prior experience with financial institutions or Big4 consulting firms within compliance, Risk or audit isrequired.
- Strong regulatory risk and compliance management foundation, with minimum of seven years of experience working within a regulated financial institution, consultancy, or regulatory agency; prefer direct experience working with, developing, implementing, and managing regulatory inventories and strategies.
- Prior experience in compliance risk assessment or risk assessment process a plus.
- Working knowledge of a broad spectrum of financial products and services, and banking operations.
- High level of attention to detail and documentation requirements. Strong interpersonal skills and customer service mindset; the ability to work collaboratively with various business partners and stakeholders. Able to communicate effectively both orally and in writing; good presentation, analytical, project management and consulting skills.
- Good strategic acumen, with demonstrated large scale program/project management experience.
- Demonstrated leadership capabilities, with solid interpersonal skills and the ability to work collaboratively across all organizational tiers. A strong customer service mindset is a must.
- Ability to communicate effectively, both orally and in writing; excellent presentation, advocacy, analytical, project management and consulting skills.
- Demonstrated knowledge in banking laws and regulations administered by the Federal Reserve Bank, FDIC, OCC and federal and state regulators
- Demonstrated ability to manage workloads and prioritize deliverables, ability to be flexible
- Ability to take initiative and execute ideas
- Strong PowerPoint and excel skills, ability to use Open Pages and reporting tools
- Ability to promote cooperation and good working relationships among team members.
- Ability to conduct and participate in meeting with all levels of staffing
- Professional designations (CRCM, CAMS, CIA or other compliance or Audit certifications) a plus.
The above statements are intended to describe the general nature and level of the 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.