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Ethics and Compliance Professional, Vice President
Mitsubishi UFJ Financial Group
San Francisco, CA, United States
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Description
Join a financial group that’s 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.
Job Summary:
Ethics and Compliance Specialist is an experienced contributor with a general broad knowledge of compliance areas and their impact on financial organizations. The individual in this position will work with the enterprise Ethics Officer to support the Ethics function and execute other compliance initiatives. The candidate must have excellent writing skills, organizational skills, attention to detail and the ability to build strong, long-term business relationships with partners across the organization. This position will support MUFG Americas Holding Corporation and its subsidiaries (including MUFG Union Bank, N.A.), and Bank of Tokyo Mitsubishi UFJ Ltd.’s (BTMU’s) U.S. operations.
The position will be located in San Francisco, but other locations will be considered. Minimal travel may be required.
Major Responsibilities:Ethics Program:
In partnership with the Ethics Officer, maintain, enforce, monitor and evaluate the Ethics Program for the organization and continuously improve the Ethics Program. The responsibilities include:
• Effectively manage the operation of the whistle-blower hotline for the organization.
• Develop ethics training and communications content and produce regular communications on important ethics matters.
• Establish effective working relationship and work closely with other Compliance, Human Resources, Legal, Audit, and Business Unit personnel to share information and knowledge and collaborate on ethics matters.
• Revise and coordinate Code of Conduct and other ethics-related policies and procedures.
• Conduct the annual Ethics Risk Assessment.
• Act as Ethics SME and be accessible to employees.
• Assist with preparing periodic reporting on the status and effectiveness of the Integrity Line and Ethics. Program to senior and executive management and Board committees.
• Stay abreast of new rules, regulations and trends in the industry.
• Develop and implement ethics initiatives for the organization.
• Assist with developing and maintaining the Code of Conduct site on the organization’s intranet.
Other Initiatives:
• Provide leadership with planning and implementation of compliance initiatives.
• Assist with establishing and implementing policies, procedures and controls.
• Assist with other projects and responsibilities, as needed.
Qualifications
• Bachelor's Degree in communications, business, law/legal studies, economics, public policy, or related discipline.
• 7+ years of experience in the financial services industry, preferably in compliance or corporate communications.
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.