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Third Line Regulatory Management, Vice President

Company: MUFG
Location: Tempe
Posted on: November 11, 2019

Job Description:

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 13,000 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:MUFG?s Internal Audit for the Americas (IAA) function is embarking upon a period of multi-year change which will result in expanded regional and global responsibilities. Third Line Regulatory Management team, under the MUFG Americas Deputy Chief Audit Executive (DCAE), leads Third Line of Defense (TLOD) - Internal Audit of the Americas (IAA) and Americas Credit Review (ACR) - regulatory matters for the Americas. This is a role within the Third Line Regulatory Management team, reporting to the Director of the team, who in turn reports to the DCAE as part of the wider IAA team.Major Responsibilities:The VP, Third Line Regulatory Management will play a key role in leading the design, implementation and sustainability of regulatory management initiatives to support IAA?s and ACR?s vision and objectives through: building an understanding of end-to-end the regulatory management program, scope and requirements; collaborative and positive stakeholder engagement including partnership with a wide range of internal and external partners; and the identification and management of regulatory management risks, all completed within known time and resource constraints, and through continuous support of all members of the team.? You will utilize substantial experience in both internal audit and program management from prior roles to lead a broad range of regulatory management initiatives in an effective and efficient manner and to effectively review and challenge any regulatory deliverables to positively contribute to the IAA / ACR team and MUFG. The scope and type of regulatory management initiatives and responsibilities that you will be involved will vary; some may be broad and global in nature with a large amount of partner engagements, while other may be targeted projects aimed at enhancing a specific area within TLOD. This role is an excellent opportunity for a self-motivated internal auditor who is looking for a new challenge (outside of executing audits) to take their career to the next level within an exciting environment. There are large opportunities for growth and development in this position, with exposure throughout to senior and executive leadership within TLOD, other MUFG business divisions, and regulators. If you are seeking new and exciting challenges in your career, you will thrive in this role by truly impacting the efficiency and effectiveness of TLOD.?You will ideally have experience with internal audit and regulatory program management within one or more large complex organizations, or similar experience from consulting-type roles, working with partners to enhance and/or automate processes and the control environment; someone who excels in running projects from the initial planning and designing through to completion, and enthusiastically partners with partners to ensure a successful end result. While this role does not involve auditing, the expectation is that you will have significant and collaborative relationships with senior management within IAA and is able to effectively partner with, as well as review and challenge, audit teams regulatory deliverables and reporting.

  • You lead regulatory projects and provide visibility into status, both for individual projects and broadly across areas of change, to demonstrate progress toward organizational goals
  • You showcase excellent problem solving, analytical skills and impeccable business judgment
  • You demonstrate foundational knowledge of utilizing technology tools and solutions (e.g., SharePoint, Advanced Excel) to streamline and/or automate business processes and controls
  • You possess highly-developed relationship management skills to effectively and efficiently maintain relationships across multiples levels of TLOD and MUFG
  • You possess strong business insight, experience running strategic projects, ability to understand and assess the ?big picture? and tailor status updates and presentations appropriately based on the audience
  • You support end-to-end regulatory management to help ensure a positive and proactive regulatory framework and business model for TLOD
  • You engage with TLOD Leadership. Business Managers, MUFG Regulatory Affairs Office and other key partners to monitor and report on regulatory exams, regulatory issues, and utilize internal and external sources to provide regulatory insight to TLOD partners on an ongoing basis
  • You build relationships across TLOD, MUFG, and regulators and examination staff
  • You anticipate and plan for issues and develop appropriate strategies as necessaryAre you ready for an exciting challenge?Qualifications:Qualifications:
    • Bachelor?s degree and 8 ? 15 years of some combination of Internal Audit, Regulatory Management, or Project Management within Financial Services;
    • At least 5 years Internal Audit experience;
    • Big 4 / consultancy experience preferred;
    • Strong written and verbal communication skills;
    • Experience using word-processing, spreadsheet and presentation programs, with clear and concise messaging and content
    • Project management qualifications or execution skills and an ability to deliver high-quality work products in a timely and agile manner;
    • Measure project performance using appropriate systems, tools and techniques;
    • Foundational knowledge and/or experience in risk-based methodologies, and risk and control environments;
    • Willingness to take ownership of domestic and/or global projects by establishing frameworks and processes that are clear and sustainable;
    • Strong personal and professional accountability, and the ability to enhance one?s skillset while continuing to deliver Business-as-Usual needs;
    • Operate within industry standard methodologies, applicable regulations, and internal and external professional practice expectations;
    • Effectively manage relationships (internally and externally) to a mutually accountable, productive, respectful, and trusted level.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.

Keywords: MUFG, Phoenix , Third Line Regulatory Management, Vice President, Executive , Tempe, Arizona

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