Regulatory Reporting Quality Assurance, Associate

    • Tempe, AZ

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 :

Regulatory Reporting Quality Assurance is responsible for the independent validation of regulatory reporting data. RRQA interacts and collaborates with teams across the organization.

The Regulatory Reporting Quality Assurance Analyst will support the team's independent validation framework through performance of transaction testing, with the objective of ensuring completeness and accuracy of the organizations regulatory reports. This is a new position responsible for supporting development of the Quality Assurance program with an emphasis on the following significant regulatory reports (e.g. FR Y-9C, FFIEC 009, FR Y-14s, FR Y-15, FR 2052a, etc.).

Major Responsibilities:

  • Execute annual risk assessments in collaboration with internal stakeholders.
  • Review regulatory reporting requirements and internal processes established to meet those requirements, including ensuring comprehension of underlying products, accounting concepts, data elements, and data flow.
  • Analyze data leveraged for regulatory reporting
  • Perform end-to-end transaction testing (from point of origin to reporting) to ensure data accuracy, data integrity, completeness, and conformance with regulatory reporting instructions.
  • Maintain electronic workpapers, process flows, operating manuals and other relevant process documents to ensure transparency and meet internal Policy requirements.
  • Document findings in transaction testing memos.


  • Are methodical and concise with strong attention to detail
  • Can apply technical understanding to practical problems
  • Are able to multi-task and adapt
  • Have advanced MS Excel and PowerPoint skills
  • Have excellent communication skills (both written and verbal)
  • Have a strong interest in financial products and new processes/systems/activities

Desired Skills and Experience:
  • Public accounting, internal audit or internal control experience in the financial services industry is strongly preferred
  • 5+ years relevant experience in a position of increasing responsibility
  • CPA or Chartered Accountant, or equivalent, is strongly preferred
  • Knowledge of regulatory reporting (Federal Reserve, OCC, FFIEC) and US GAAP is a plus

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.

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