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Regional Head of Financial Crimes Conformance
Mitsubishi UFJ Financial Group
Tempe, AZ, United States
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Description
Regional Head of GFCD Conformance - Americas (
Director)
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.
Job Summary:
Reporting into the Global Head of GFCD Conformance and the Head of GFCD Center of Excellence - Americas, this new position has been created for the purpose of establishing a globally consistent approach to Financial Crimes Quality Assurance (QA) and Monitoring for MUFG. One of several key regional leadership positions in the new GFCD Global Conformance function, this position will be responsible for the implementation, development and oversight of a consistent Quality Assurance and Monitoring program across the Americas in accordance with established global standards and practices.
Major Responsibilities:
In connection with the Global Financial Crimes Conformance Program –
◦ Lead the implementation of an effective and efficient GFCD Quality Assurance (QA) and Monitoring program in the Americas, with oversight of all GFCD owned and managed processes.
◦ Lead a team of GFCD Quality Assurance and Monitoring teams, predominantly located in the GFCD Center of Excellence (CoE), maintaining high standards of delivery.
◦ Actively engage with key stakeholders to deliver analysis and assessment of key risks, control weaknesses and improvement opportunities.
◦ Implement and maintain Global GFCD Conformance QA and Monitoring standards, methodology, processes, templates and requirements.
◦ Develop any locally required addenda to the global standards to ensure full coverage of both global standards and local regulatory requirements in the Americas.
◦ Liaise and collaborate with Regional and Global GFCD functions (AML, Sanctions. AB&C) and business lines to ensure alignment to global policies and requirements as well as appropriate coverage for key financial crime risks identified by the global leadership team
• Work collaboratively across functional teams within GFCD and the FCO Americas to ensure effective and efficient operations with clearly defined roles and responsibilities.
• Liaise with regulators and supervisors as required in connection with the global program and related regulatory issues.
• Work with the Global GFCD Conformance leadership team to provide routine updates to GFCD leadership, senior management, and appropriate governance fora.
Qualifications
Experience/Skills
• A Bachelor’s degree. An MBA or Master’s degree in business, accounting, legal or related fields is preferred
• 10 plus years of internal or financial industry and compliance experience, preferably within a global organization in a role directly involved with implementing and managing or assessing control environments or quality programs as part of a Financial Crime management program
• Experience in analyzing or managing financial crime investigative processes
• Experience in developing/enhancing financial crimes-related programs within existing structures
• Experience interacting with senior managers and compliance subject matter experts
• Proven leader
• Collaborative with strong interpersonal communication skills
• Process oriented coupled with a strong ability to develop appropriate program enhancing strategies
• Detail-oriented and organized execution
• Proven stakeholder management experience
Additional skills
• Experience interfacing with banking regulators and enforcement staff
• Thorough understanding of an effective financial crimes risk management framework
• Experience in managing teams across multiple locations and operating sites.
• Proven managerial skills necessary to successfully administer a key control function within a financial crime risk management program.
• The ability to interact effectively at all levels of the organization, including Bank staff, management and regulators
• Ability to work autonomously and initiate and prioritize own work
• Ability to work with teams of project managers
• Solid judgment, strong negotiating skills, and a practical approach to implementation – including knowledge of Bank systems
• Ability to balance regulatory requirements with the best interests of the Bank and its customers
The above statements are intended to describe the general nature and level of the 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.