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Regulatory Affairs Office Manager, Vice President
Mitsubishi UFJ Financial Group
Monterey Park, CA, United States
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Description
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we’re 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that’s working to fulfill its vision to be the world’s most trusted financial group.
RESPONSIBILITIES
The Regulatory Affairs Office is responsible for day-to-day management of examinations, including responding to regulator requests, meeting scheduling, logistics preparation and coordination, control of management information submissions, assessment of business lines’ preparedness for the examination process, management of responses to examination reports and letters and monitoring issues identified during an examination.
RAO will work in conjunction with the designated business unit Central Point of Contact (CPOC) and Regulator Examiner-In-Charge and will manage regulatory engagement throughout the exam.
The RAO Officer is responsible for:
• Execution of Exam Management Process for assigned business group
• Prepare for exam by conducting Exam Healthcheck 3-6 months prior to scheduled exam
• Ensure appropriate stakeholders are engaged in the preparation and participation in the exam
• Coordinate compilation of Supervisory Request List items and ensure completion and delivery by due date via regulator’s large file transfer system
• Coordinate all meeting requests and take meeting minutes for Entrance, Status and Exit meetings
• Provide oversight of management responses to supervisory letters
• Monitor regulatory issues remediation
• Ongoing monitoring of issues remediation
◦ Ensure completeness and timely submission of issues closure packages to regulator
Qualifications
• Proven track record in regulatory relations
• At least 5-7 years’ experience in diverse business roles – e.g., revenue generating roles, program management, audit/compliance, managing staff functions
• Strong analytical skills and problem solving capabilities
• Detail oriented and well organized
• Strong communication and presentation skills
• Strong work ethic, ability to make decisions, and work under tight deadlines
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/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.