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Compliance Testing Officer - Wealth Markets & Trust, Vice President

Company: MUFG Union Bank
Location: Irving
Posted on: February 22, 2021

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. Compliance Testing Officer - Wealth Markets & Trust, Vice President 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 2020).In the Americas, we're 13,000 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. Job Summary: Americas Compliance Testing (ACT) is an integral part of the Bank's Regulatory Compliance Risk Management function. This position executes a compliance testing program designed to meet heightening regulatory standards and expectations pertaining to Federal and State laws, rules, regulations, and supervisory guidance overseen by the Compliance group. This position will work closely with ACT teammates and various key business partners to deliver an effective second line of defense testing work that meets senior management and regulatory expectations. Major Responsibilities: Development and execution of risk-based testing program within the wealth markets and institutional trust business lines. This includes all phases of compliance testing activities including planning / scoping, creating test scripts, document with supporting workpapers, and draft compliance testing reports. Identify and assess design and effectiveness of key business line processes and controls related to subject matter tested. Identify issues and conduct meeting with first line partners to communicate testing activities and conclusions. Review proposed solutions and provide credible challenge where necessary. Maintain effective working relationships with business line and compliance partners and keep them apprised of progress and any findings. Write clear, concise, and analytical evaluation reports and other workpapers summarizing level of risk, scope, objective, findings, and recommendations, consistent with the established procedures and templates. Adhere to the Bank's risk vision, and risk management policies and programs, and identify and effectively manage risks associated with activities in the business lines we support. Lead complex compliance reviews. Requirements: Minimum of six years of compliance/risk management experience or equivalent banking work experience in regulatory compliance, audit, or other related area of banking with at least three years of direct compliance testing or audit experience. Comprehensive knowledge of Regulation 9, OCC Handbooks related to asset management, custody and fiduciary services, Trust Indenture Act, SEC Rules related to investment advisory services, and applicable IRC regulations related to wealth management. Strong academic credentials - minimum BA or BS degree from an accredited university. JD preferred. Accredited professional certification preferred such as CRCM, CFIRS, CTFA, CIA. Strong research, analytical and writing skills required. Ability to analyze processes and identify risk including assessing changes in processes, making recommendations, and communicating results both verbally and in writing. Strong work ethics and capacity to act both as an individual contributor who is self-motivated and to serve as a team member. Demonstrated capacity to interact with all levels of management within a financial services organization including; business unit personnel, operational management, technology, and compliance and risk governance professionals. Demonstrate knowledge of and be sensitive to the current regulatory environment. Ability to recognize and proactively address risk associated with tested laws, rules and regulations. Proficient in Microsoft Office Suite of applications including spreadsheet protocols, and SharePoint. Join us as we evolve our organization to become more agile, innovative and inclusive! 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. 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, Irving , Compliance Testing Officer - Wealth Markets & Trust, Vice President, Executive , Irving, Texas

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