Corporate Function Compliance, AVP

About the role

The Compliance Professional, Assistant Vice President (AVP) - is responsible for identifying, assessing, monitoring, and overseeing compliance risk, ensuring adherence to regulatory requirements through risk assessments, monitoring, issue management, and policy governance, while providing independent challenge and advisory support to the business. The AVP will collaborate with business unit stakeholders to identify, mitigate, and remediate compliance risks. This role plays a critical role in ensuring the Chief Financial and Strategy Office meets regulatory expectations and Company's Policies requirements.

Responsibilities

• Provide Compliance coverage and oversight to the Chief Financial and Strategy Office, including subfunctions such as Enterprise Reporting & Analytics, Financial Planning and Analysis, Corporate Workplace Solutions, Controllers and Tax Services, Procurement and Accounting, among others.
• Provide independent second line of defense oversight of assigned Corporate Function as first line of defense, providing compliance advisory and credible challenge in accordance with the Compliance Risk Management framework.
• Maintain updated inventory of applicable laws, rules, and regulations, including but not limited to regulatory change management.
• Ensure business unit processes align with regulatory expectations through monitoring and oversight activities.
• Execute annual compliance risk assessments summarizing results into a comprehensive report.
• Track, support, and provide oversight of remediation efforts and open issues.
• Develop, maintain, and update assigned compliance standards and policies.
• Review third party vendor engagements for regulatory risk exposure.
• Prepare responses to regulatory exams (e.g., OCC, FRB), audits, and internal reviews by providing compliance artifacts, documentation, and data extracts as required.
• Collaborate with management and other business partners to successfully execute compliance program requirements

Requirements

• 5-10 years of experience in compliance, risk, audit, legal, banking, or related financial industry roles.
• Working knowledge of financial and regulatory reporting laws, requirements, and regulations.
• Experience providing Business Unit oversight and compliance advisory or managing regulatory expectations for financial institutions.
• Strong coordination skills with the ability to work across multiple teams and stakeholders.
• Experience overseeing the preparation, review, and submission of regulatory reports.
• Exposure to exam management or compliance risk management support activities.
• Understanding of US wholesale banking and experience maintaining strong process governance and control frameworks issued by the OCC and FRB.
• Education
• Bachelor's degree or equivalent combination of education and experience.
• Other
• MUFG Benefits Summary

Benefits

Additional Information

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 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.

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