Job Information
MUFG Global Financial Crimes – Governance, Advisory, & Oversight QA Manager, Vice President in Tempe, Arizona
Do you want your voice heard and your actions to count?
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 120,000 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.
Job Description:
The individual will be responsible for leading the Regional Americas GFCD QA GAO function. The role advises and oversees all QA teams (including MUFG Global Solution (MGS) GFCD QA, Branches, and the First Line of Defense) across the key financial crimes controls (AML, ABC, KYC and Sanctions) in the Americas.
As Americas GFCD QA GAO Lead, you will manage the operation of the financial crime compliance framework. Thus, your responsibilities and accountabilities include, but are not limited to, implementing and overseeing the QA program in a “business as usual” environment to mitigate the financial crime risks.
The Americas GFCD QA GAO Lead role reports directly into the Head of Americas GFCD QA, and it forms part of the Americas GFCD QA leadership team.
Delivery of output by the Americas GFCD QA GAO function, including meeting target dates and deadlines.
Quality of output by the Americas GFCD QA GAO function, including the completeness and accuracy of the work.
Escalating identified risks or issues to the Head of Americas GFCD QA in a timely manner.
Completing issue actions on time where the role holder is the action owner.
Completing mandatory training on time, including the role holders and team members.
Achieving annual personal objectives or escalating risks to achieving the annual personal objectives to the Head of Americas GFCD QA in a timely manner.
Maintaining technical and non-technical personal development to meet the demands of the role.
Supporting the Head of Americas GFCD QA and Program Due Diligence by overseeing the Americas GFCD QA function, including supervising team members, prioritizing workloads, quality control, absences and leave, training, coaching, and career development.
Drafting, refreshing, and maintaining the Americas GFCD QA GAO components of the Americas GFCD QA operating manual.
Drafting, refreshing, and maintaining the Americas GFCD QA GAO annual plan.
Drafting and distributing the Regional QA Working Group(s) (WG) report(s).
Contributing to, and challenging attendees in, as required, the Regional QA WGs.
Drafting and distributing the Regional QA WG meeting note(s).
Drafting the regional minimum standards for FCC QA, including regional FCC QA:
Process coverage
Requirements
Scoring guidance
Obtaining the approval(s) of the regional minimum standards for FCC QA.
Updating the Regional Financial Crimes Office (RFCO) stakeholders on risks or issues in a timely manner.
Providing FCC QA advice to the QA Managers in the Local Financial Crimes Functions (LFCF) and First Line of Defence (FLoD).
Obtaining FCC QA advice from the Heads of ABC, AML, and Sanctions QA.
Communicating the approved Global FCC QA Methodology, and global and regional minimum standards for FCC QA to the RFCO stakeholders.
Communicating the approved Global FCC QA Methodology, and global and regional minimum standards for FCC QA to the QA Managers in the LFCF and FLoD.
Drating the training material on the approved regional minimum standards for FCC QA.
Training the Regional GFCD QA team members, Regional MGS GFCD QA Leads, and QA Managers in the LFCF and FLoD on the approved global and regional minimum standards for FCC QA.
Confirming the Regional GFCD QA team members, Regional MGS GFCD QA Leads, and QA Managers in the LFCF and FLoD training attendance on the approved global and regional minimum standards for FCC QA.
Executing oversight activities in accordance with the Americas GFCD QA GAO annual plan or ad hoc requests.
Producing and distributing QA oversight MI to GFCD QA leadership and Regional QA Working Group(s).
Experience
7 + years of financial industry and compliance experience, preferably within a global organization in a role directly involved with driving change, program enhancement and critical program evaluation.
3-5 years experience in:
Leading a team with direct reports.
FCC QA.
FCC controls oversight.
FCC technical advice provision.
Experience interacting with financial crime program senior leadership and compliance subject matter experts.
Thorough understanding of an effective financial crimes risk management framework.
Financial crime compliance control design, control evaluation, testing or auditing.
Interfacing with banking regulators and enforcement staff.
Education / Qualifications:
- Financial crimes risk management or control design and evaluation related certifications.
The typical base pay range for this role is between $117k-$147k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus 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 (https://careers.mufgamericas.com/sites/default/files/document/2023-01/mb-live-well-work-well.pdf)
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.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
Our Culture Principles
Client Centric
People Focused
Listen Up. Speak Up.
Innovate & Simplify
Own & Execute