Governance, Risk And Compliance Mgr, Vice President

    • Charlotte, NC

Do you want your voice heard and your actions to count?

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). In the Americas, we're 14,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We're a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.

Job Summary :

Reporting to the Head of GRC Practices within Americas Compliance Division, the position's primary objective is to develop, deploy, and manage regulatory compliance Governance, Risk and Compliance (GRC) mission, vision, and program elements in accordance with enterprise policy requirements and management expectations. Responsibilities include strategic planning and administration of the multi-year regulatory compliance GRC roadmap, including related practices and technologies that enable the Company to holistically understand, manage, and report compliance risks efficiently and effectively. Accordingly, this role may include the day-to-day execution, management and stewardship of various aspects within the Practices group including issues management, governance, assessments, regulatory inventory, special projects, technology and other activities.

Major Responsibilities :

•Although am individual contributor role, position may have direct or indirect reports in future.

•Work hand in hand with the Head of GRC Practices and responsible for overall governance and framework.

•Utilizing available GRC technology solutions, assist the program on enhancement of tools.

•May be responsible for one or several key activities managed within practices group including (but not limited to) regulatory inventory, regulatory change management, regulatory risk, control mapping, issues management, compliance assessment routines, risk appetite etc.

•Act as regulatory compliance GRC evangelist, change advocate, and executor for meaningful, sustainable business transformation. Consult with business partners and other stakeholders to align GRC strategies across the company's risk and control environments.

•Based on industry knowledge enhance existing processes and build the function for future.

•Integrate and alignment of practices with other entities and compliance with international standards.

•Define program, policies, procedures that can be implemented across the organization.

•Provide training on the enhanced program.

•Serve as subject matter expert provide specialized industry knowledge on enhancement and improvement of program.

•Conduct effective presentations to various levels of the organization, including 3rd party reviewers and senior management.

•Interface with Audit and bank regulators to explain and demonstrate the program created, and to satisfy GRC related information requests. Escalate and resolve risks and issues as required.

•Keep abreast of industry changes in GRC strategies, best practices, and technologies.

•Represent management in various committees.

•Lead implementation of process across the various entities. Effectively liaise with key business partners in all divisions and regions to drive key regulatory compliance decisions and outcomes.

•Develop, deliver, and maintain standards, procedures, toolkits, and training, to support regulatory compliance GRC program effectiveness.

•Create concepts, business requirements, workflows, business rules, risk analyses and assessments, implementation plans, tracking and feedback processes.

•Identify opportunities to efficiently integrate GRC program components into daily operations.

•Represent Americas Compliance and lead on enterprise GRC initiatives, seeking out opportunities to integrate with other Risk groups, yielding better information, efficiency and decision-making capabilities.
pliance, CRA, QC, etc.), which typically has at least division level impact of error, and has a moderate to significant effect on the Bank's overall operations, public image, regulatory evaluation, etc. Advise executive and line management on emerging compliance issues, and assist subordinates and line unit compliance officers in establishing policies, procedures and controls. Major Responsibilities: Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s)and ensure that any subordinates, and line managers in area of responsibility are adequately informed Ensure that changes necessitated by new or revised laws and regulations impacting the area of responsibility, including changes in policy and procedural manuals, are made in a timely manner Ensure that compliance issues raised by new products or operating system changes are adequately evaluated and addressed prior to implementation Set minimum standards for compliance testing, ensuring that compliance issues are brought to the attention of the Group/Division executive Coordinate regulatory examinations of assigned compliance focus area(s) by federal regulators or other internal or external auditors. Propose corrective action plans, keep Group/Division executive informed and involved Recommend to Group/Division executive corrective action and ensures that it is accomplished Provide technical assistance, training, information, and analysis to subordinates and line compliance personnel Keep Compliance Team Leader and/or Chief Compliance Officer informed of compliance issues Prepare and potentially present reports to management regarding status of compliance in areas of compliance focus


Qualifications :

•BS or BA degree with prior management experience required; advanced degrees legal or business related fields are viewed favorably. Master's degree preferred

•10 to 15 years of compliance and/or risk management (Operational Risk, Compliance, or Audit) with large financial institutions or Big4 consulting firms is required.

•Familiarity with compliance regulations impacting bank including areas in compliance, finance, HR etc.

•Working knowledge of a broad spectrum of financial products and services, and banking operations.

•Prior experience in regulatory change and regulatory inventory management is a plus.

•Self driven with ability to multi-task and handle multiple priorities at one time.

•Good system acumen, able to learn systems relatively fast, with experience in implementing GRC tools.

•Demonstrated ability to manage workloads and prioritize deliverables, ability to be flexible

•Strong PowerPoint and excel skills, ability to use Open Pages and reporting tools

•Strong regulatory risk and compliance management foundation; prefer direct experience working with, developing, implementing, and managing GRC technologies and strategies.

•High level of attention to detail and documentation requirements.

•Strong interpersonal skills and customer service mindset; the ability to work collaboratively with various business partners and stakeholders. Able to communicate effectively both orally and in writing; good presentation, analytical, project management and consulting skills.

•Good strategic acumen, with demonstrated large scale program/project management experience.

•Demonstrated leadership capabilities, with solid interpersonal skills and the ability to work collaboratively across all organizational tiers. A strong customer service mindset is a must.

•Ability to communicate effectively, both orally and in writing; excellent presentation, advocacy, analytical, project management and consulting skills.

•Ability to promote cooperation and good working relationships among team members.

•Professional designations (CRCM, CAMS, CIA or other compliance or Audit certifications) a plus.

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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