Compliance Testing Officer, Assistant Vice President

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.

Job Summarywork Experience:

• Experience in compliance testing, regulatory examination, audit, or risk management.
• Exposure to regulatory exams or inquiries.
• Experience with Core Compliance requirements such as Ethics, Data Privacy, Information Handling, Records & Information Management, Anti-Boycott Laws.

Functional Skills:

• Comfortable using Microsoft Office and basic data analysis tools
• Strong documentation and report-writing skills
• Proficiency in managing small-scale testing projects and timelines

Foundational Skills:

• Communicates effectively
• Engages inclusively and with intent
• Always acts with integrity
• Effectively collaborates with colleagues
• Identifies multiple paths to success using analytical and critical thinking as well as decision-making skills
• Exercises sound judgement, prioritizes effectively, and strives for continuous improvement
• Exhibits optimism, resilience, flexibility, and openness to others' ideas
• Leverages available technology to drive efficiency and results.
• Values learning as a lifelong professional objective
• Understands and applies industry trends and best practices

Responsibilities:

• Collaborates on the development, administration, and governance of a centralized risk-based assurance framework
• Follows established testing standards, procedures, and training programs
• Performs tests of control design and effectiveness across the first and second lines of defense
• Documents testing outcomes including findings, and root causes
• Conducts quality control or quality assurance reviews of testing activities
• Validates remediation efforts, related to testing identified issues
• Reviews business processes and recommends improvements

Qualifications:

• Bachelor’S Degree Required

The typical base pay range for this role is between $88k-$109k 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

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.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.