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Regulatory Reporting Quality Assurance, Vice President
Mitsubishi UFJ Financial Group
New York, NY, United States
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Description
Regulatory Reporting Quality Assurance, Vice President
Location: New York, NY
Join a financial group that is as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better — from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group.
Summary:
The Regulatory Reporting Quality Assurance (QA), Vice President is responsible for performing independent validation and the enhancement of regulatory reporting data integrity. Position entails performing periodic reviews of regulatory filings to evaluate the effectiveness of procedures and controls for the purposes of ensuring the accuracy of reports submitted to regulators. This person will partner with key stakeholders to identify areas of regulatory reporting improvement, including identifying process enhancements.
Responsibilities:
• Perform independent validation of regulatory reporting data using a risk based approach. This entails the formation and publication of an annual testing plan, execution of the testing plan through extraction and analysis of systems data and transaction documents, and publication of testing results, including developing, maintaining, and coordinating remediation of adverse findings.
• Track the resolution or remediation of know data quality or examination findings (identified through transaction testing and internal/external examinations), including documentation of issues and status for executive management or examiner consumption.
• Participate in internal and external examinations, including coordinating/sub-coordinating with examiners and key stakeholders.
• Assist with the maintenance of a comprehensive regulatory reporting training program.
• Update process and procedure documents utilized by QA, Regulatory Reporting, and management team, including process narratives for key regulatory filings, Regulatory Reporting best practice standards
Qualifications
• B.A. / B.S. degree in Accounting or Finance. CPA and/or a Chartered Accountant is strongly preferred
• Previous public accounting experience including banking industry experience is highly desired.
• 7 or more years of relevant experience in a position of increasing responsibility, including a minimum of 5 years of Banking/Financial Services experience.
• Strong Accounting, Financial Reporting, or Internal Audit experience.
• Knowledge of banking regulatory reporting rules and regulations, US GAAP, and Sarbanes Oxley.
• Previous reporting experience should include: SEC, Financial Reporting, Regulatory Reporting, Basel and/or Broker/Dealer is critical.
• Proficient in the use of MS Office: Excel, Word, PowerPoint and Access.
• Excellent analytical skills focused on problem solving, strategic thinking, and data analysis
• Excellent verbal, written and presentation skill are essential.
• Strong interpersonal skills with the ability to build collaborative relationships with senior management, business heads and internal and external stakeholders and peers.
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.