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Posted: Monday, February 5, 2018 1:12 AM

*Compliance Testing Officer, Vice President*
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world with total assets of over $2.4 trillion (as ranked by SNL Financial, April 2016) and 140,000 colleagues in nearly 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.
Reporting to the manager of the Wealth Markets and Global Trust Compliance Testing Group, the Compliance Testing Officer will execute 2nd line compliance testing of the bank's fiduciary compliance testing program.
Compliance Monitoring and Testing: Responsible for the execution of fiduciary compliance monitoring and testing activities including scoping and planning compliance testing activities, creating testing work programs, work papers, and Compliance Testing Reports. Review and assess end to end reviews of key compliance processes and controls. Identify issues; review root cause analysis; review propose solutions and provide credible challenge where necessary; prepare Compliance Testing reports summarizing findings; and conduct meeting with first line partners to communicate testing activities and conclusions. Maintain effective working relationships throughout the bank with compliance representatives and line management. Keep current on proposed and final federal and state regulations applicable to the unit. Write clear, concise, and persuasive evaluation reports and other documents summarizing level of risk, scope, findings, recommendations, and the current status of findings/issues.
Risk Management: Demonstrate knowledge of and be sensitive to the current regulatory environment; adhere to the Bank's Risk Vision, and risk management policies and programs; recognize and proactively address risk (including but not limited to those associated with new and emerging regulations applicable to the Wealth Markets and Global Trust Compliance Testing Group and other federal and state laws and regulations); identify and appropriately manage risk, and perform compliance related research.
Other: Participate in fiduciary committees, task forces, and working groups, as needed. Participate in projects and other activities in support of the Bank s fiduciary compliance program.
Typically requires a minimum of five years of fiduciary compliance/risk management experience or equivalent banking work experience in regulatory compliance, audit, or other related area of banking with at least three years of direct compliance or audit experience. Scope of experience should include demonstrated compliance and risk management expertise in laws, regulations, and best practices related to personal trust, global custody, corporate trust, liquidity management, IRAs , broker dealer, and investment management. Scope of compliance experience should include coordinating and conducting compliance monitoring, testing, and reporting. Typically requires a college degree or equivalent experience. Accredited professional certification preferred (e.g., CFIRS, CCTS, CTFA, etc.). Comprehensive knowledge of banking/compliance laws and regulations applicable to personal trust, corporate trust, custody services, trust operations, broker dealers, and investment management.(e.g., Reg 9, TIA, SEC, FINRA, probate codes, etc.). Strong analytical and research skills. Ability to analyze processes and identify risk including assessing changes in processes, making recommendations, and communicating results both verbally and in writing. Capacity to act both as an individual contributor who is self-motivated and to serve as a team member. Demonstrated capacity to interact with all levels of management within a financial services organization including; business unit personnel, operational management, technology, and compliance and risk governance professionals. Proficient in Microsoft Office Suite of applications including spreadsheet protocols, and SharePoint.
*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.*
**Job:** **Risk & Compliance*
**Title:** *Compliance Testing Officer, Vice President*
**Location:** *CALIFORNIA-San Francisco*
**Requisition ID:** *10017544-WD*
**Other Locations:** *CALIFORNIA-Irvine, CALIFORNIA-Los Angeles, CALIFORNIA-San Diego*
Associated topics: accounting, analyst, banking, expense, financial controller, financial planning, financial services, fiscal, pay, revenue


• Location: San Francisco

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