Global Sanctions Compliance, Vice President

    • Charlotte, NC


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.

Looking less on the operational/advisory side (e.g., OFAC alert reviews, close escalations, provide advice, create algorithms, perform QA, execute audits, etc.) and more on the management of risk assessment processes and core data/systems (e.g., managing/designing/executing risk assessment for the bank, leading systems changes, validating data, etc.)

Major Responsibilities:

  • Provide subject matter expertise in the areas of Financial Crimes compliance, primarily but not solely sanctions-related, as it applies to screening and payment systems, processes and procedures
  • Administer the Bank's global wire payment standard, coordinating with various business, risk and operational functions throughout the enterprise (including Transaction Banking, Compliance Testing, Technology, Data Governance, Operations, AML, etc.) focusing on data quality in outgoing funds transfers
  • Develop Key Performance Indicators and Key Risk Indicators (KPI/KRI) for the purposes of supporting compliance and data quality initiatives
  • Compile, analyze and present key metrics to support monitoring and reporting requirements
  • Review gap assessments and remediation plans to ensure the effectiveness of business, operational and control functions compliance and operational risk controls for Financial Crimes
  • Identify, aggregate, report, and escalate compliance and operational risks, issues and control enhancements for Financial Crimes in the areas of data quality, screening applications and core payment systems and processes
  • Support governance and management oversight through analysis of screening, payment and other key functions to identify trends and potential risk exposure and develop and/or facilitate actions plans to address or remediate
  • Liaise with internal and external partners on financial industry groups and practices (SWIFT, Wolfsberg, etc.)
  • Coordinate with industry, compliance, business, and operational risk peers in preparation for future-state SWIFT conversion (2025)
  • Inspect that gap closure plans and commitments made regarding actions in response to Matters Requiring Attention (MRAs) and other regulatory actions are adequately resolved
  • Review and revise standards and procedures, develop training and job aides, and provide guidance to core business and compliance functions, as necessary
  • Work closely with Issues Management and Compliance Testing units to ensure Compliance and Operational risk "owned" issues (i.e., Internal Audit, Regulator and Self-Identified issues) are addressed appropriately and timely in relation to the Bank's global wire standard
  • Provided support to the Sanctions Risk Assessment team in the compilation and analysis of data provided by the Business Units, in close coordination with the Financial Crimes Risk Assessment and Predictive Analytics teams
  • Identify innovative methods to apply to risk assessment processes, including risk rating methodology, identification of key inherent risk indicators, scoring and analysis tools
  • Support the Global Head of Sanctions Program Implementation in developing and executing key projects and initiatives in support of Strategic Priorities



  • 7-10 years of experience in compliance and/or risk management, particularly with respect to screening applications and core payment systems, with a focus on financial crimes and/or sanctions.
  • Strong understanding of US banking regulations.
  • Strong understanding of risk assessment, risk rating and model risk governance processes.
  • Experience working with complex data sets and attendant applications (advanced Excel knowledge a plus) and applying data quality validation processes.
  • Experience working with core banking as well as BSA/AML/OFAC transaction monitoring, customer risk rating, and screening systems.
  • Experience working with internal and external stakeholders at all levels to effectively manage key projects/initiatives and support implementation of the Bank's compliance program.
  • Bachelor's degree required.
  • CFE/ACAMS preferred

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.

MUFG Union Bank is part of Mitsubishi UFJ Financial Group (MUFG), the fifth largest financial group in the world.

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