Compliance Testing Officer - Wealth Markets & Trust, Vice President
Company: MUFG Union Bank
Location: Irving
Posted on: February 22, 2021
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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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