Global Financial Crimes – Quality Assurance Team Lead

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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

The Americas Global Financial Crimes Division (GFCD) Quality Assurance (QA) team organizationally resides within the Global Financial Crimes Compliance (FCC) Program Management. GFCD works to ensure that our organization conducts its business such that we protect our reputation, our business, and our clients within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective systems and controls to protect clients’ assets and to mitigate the risk that MUFG might be used to further financial crime.

GFCD QA is responsible for driving QA standardization and consistency in both the first and second lines of defense through setting minimum QA standards, providing technical advisory, discharging oversight and governance, and building an effective QA execution capability

Responsibilities

• The individual will be responsible for leading Regional Americas GFCD QA Execution. The team carries out QA reviews over key financial crimes controls (AML and Sanctions) in Americas.

• As Americas GFCD QA Execution Lead, you will manage a team that contributes to the operation of the financial crime compliance framework. Thus, your responsibilities and accountabilities include, but are not limited to, implementing, and overseeing the QA program in a “business as usual” environment to mitigate the financial crime risks.

• The Americas GFCD QA Execution Lead role reports directly to the Head of Americas GFCD QA, and it forms part of the Americas GFCD QA leadership team.

• Delivery of output by the Americas GFCD QA Execution function, including meeting target dates and deadlines.

• Quality of output by the Americas GFCD QA Execution function, including the completeness and accuracy of the work.

• Escalating identified risks or issues to the Head of Americas GFCD QA in a timely manner.

• Completing issue actions on time where the role holder is the action owner.

• Completing mandatory training on time, including the role holders and team members.

• Achieving annual personal objectives or escalating risks to achieving the annual personal objectives to the Head of Americas GFCD QA in a timely manner.

• Maintaining technical and non-technical personal development to meet the demands of the role.

• Overseeing and leading the Americas GFCD QA Execution function, including managing team members, prioritizing workloads, quality control, absences and leave, training, coaching, and career development.

• Drafting, refreshing, and maintaining the Americas GFCD QA Execution components of the Americas GFCD QA operating manual.

• Drafting, refreshing, and maintaining the Americas GFCD QA Execution annual plan.

• QA execution and overseeing the deployment over regional GFCD-owned FC controls to QA functions across the region.

• Implementation of a coordinated, consistent, and risk-based AML and Sanctions QA program.

• Articulating and establishing the allocation of roles and responsibilities among QA Reviewers in accordance with the Global FCC QA Methodology.

• Communication of the results of the QA reviews relating to financial crimes controls to the appropriate parties and are addressed in a timely manner.

• Planning, designing, scoping, executing, escalating, and reporting QA reviews as a part of the overall QA cycle in accordance with the Global FCC QA Methodology.

• In addition to the responsibilities listed, as a member of the Americas GFCD QA leadership team, it is expected that the role holder will contribute to the Americas GFCD QA team development. This includes improving internal controls, streamlining processes, and finding better ways of doing things across the entire team.

• Importantly, it includes developing initiatives to maintain team morale and sustain motivation across the function. The role holder will be a role model through leading by example and may need to support more junior members through coaching and mentoring.

Experience

• 5-8 years of experience in leading a team with direct reports, FCC QA, and operating AML and/or Sanctions control processes.

• Significant financial industry and compliance experience, preferably within a global organization in a role directly involved with operational activities.

• Experience interacting with management and compliance subject matter experts.

• Thorough understanding of an effective financial crimes risk management framework.

The typical base pay range for this role is between $95k-$147k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.