MUFG Americas

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Sr. Compliance Officer, VP

at MUFG Americas

Posted: 4/9/2019
Job Status: Full Time
Job Reference #: 10026894-WD-SECONDARY-45
Keywords:

Job Description

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.


Job Summary:

As part of the MUFG Union Bank Americas Compliance Testing, Lending Compliance Testing Group (LCTG), this position is to establish and execute regulatory compliance testing covering sales and origination lending activity within the residential lending, small business and commercial mortgage lines of business.

Major Responsibilities:

  • 5-7 years of experience within financial services industry preferred with emphasis on regulatory requirements. Comprehensive knowledge of federal and state lending regulations.Preferred experience withTRID, including TILA, RESPA, HMDA,ECOA, FCRA, CRA or FDPA.
  • Establish, design, and execute regulatory compliance testing of sales and originations for residential lending, small business and commercial lending oriented regulations
  • Work with the business unit as well as the Compliance Officer Business Oversight (COBO) partner to ensure all rules applicable to the line of business and the products supported are identified so that testing priorities can be evaluatedandestablished.
  • Executes, organize and prioritize testing in a timely manner ensuring deliverables are achieved while maintaining accuracy.
  • Develop and document detailed testing scripts covering testing of controls evaluations and testing oftransactions to assess adherence to compliance rules.
  • Research and prepare testing scope, workpapers, and reports capturing final results of testing.
  • Work closely with other Sr. Compliance Testing Officers and Testing Manager to ensure consistency among execution of testing and interpretation of rules.
  • Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group ofassigned compliance focus area(s) and ensure testing scripts reflect such changes.
  • Prepare and potentially present reports to management regarding status of compliance testing in areas ofcompliancefocus.


  • Strong testing/audit background related to regulatory compliance rules.
  • Experience in mortgage banking, performing testing, quality control/assurance processes or internal/external audits.
  • Minimum of 3 years of experience executing testing efforts or exposure to audit, quality control or quality management functions and results.
  • Strong time management, interpersonal, communication, and leadership skills.
  • Strong analytical, research and problem solving skills.
  • Excellent verbal and written communication skills.
  • Ability to establish credibility and strong partnership with management and peers.
  • Ability to work under tight deadlines and successfully manage multiple tasks at one time.
  • Bachelor's degree with professional certification preferred.
  • Ability to work autonomously and initiate and prioritize own work.
  • Ability to travel up to 10% of the time.

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.

Application Instructions

Please click on the link below to apply for this position. A new window will open and direct you to apply at our corporate careers page. We look forward to hearing from you!