Global Financial Crimes - Senior Quality Assurance Reviewer, AVP
Global Financial Crimes - Senior Quality Assurance Reviewer, AVP
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Job Description
Do you want your voice heard and your actions to count
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG) one of the worlds leading financial groups. Across the globe were 120000 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 worlds most trusted financial group its 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 department. 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.
The individual will be responsible for carrying out QA reviews over key financial crimes controls (AML and Sanctions) in the Regional Americas GFCD QA Execution function. As Americas GFCD Senior QA Reviewer you will contribute to the operation of the financial crime compliance framework. Thus your responsibilities and accountabilities include but are not limited to supporting the implementation of the QA program in a business as usual environment to mitigate the financial crime risks. The Americas GFCD Senior QA Reviewer role reports directly into the Americas GFCD QA Execution Lead.
Qualifications
Executing QA reviews in accordance with the QA operating manuals.
Executing quality control (QC) over the QA reviews in accordance with the QA operating manuals.
Supporting the drafting refreshing and maintaining the Americas GFCD QA Execution components of the Americas GFCD QA operating manual.
Supporting the drafting refreshing and maintaining the Americas GFCD QA Execution annual plan.
QA execution and supporting the deployment over regional GFCD-owned FC controls to QA functions across the region.
Supporting the implementation of a coordinated consistent and risk-based AML and Sanctions QA program.
Communication of the results of the QA reviews relating to financial crimes controls to the appropriate parties and are addressed in a timely manner.
Supporting the 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.
Delivery of the work assigned to the role holder including meeting target dates and deadlines.
Quality of the work assigned to the role holder including the completeness and accuracy of the work.
Escalating identified risks or issues to the Americas GFCD QA Execution Lead in a timely manner.
Completing actions on time where the role holder is the action owner.
Completing mandatory training on time.
Achieving annual personal objectives or escalating risks to achieving the annual personal objectives to the Americas GFCD QA Execution Lead in a timely manner.
Maintaining technical and non-technical personal development to meet the demands of the role.
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
3-5 years of experience working within a Financial Crimes Compliance Quality Assurance role
Operating ABC AML and/or Sanctions control processes.
Experience interacting with compliance subject matter experts.
Moderate financial industry and compliance experience preferably within a global organization in a role directly involved with operational activities
Knowledge of: QA concepts including sampling stratification QA testing and QA MI.
Proven excellence in execution in complex and demanding situations.
Collaborative with strong interpersonal communication skills.
Process oriented couple with a strong ability to develop appropriate program enhancing strategies.
Detail-oriented and organized execution.
Good presentation skills.
Demonstrated ability to manage multiple projects simultaneously.
Education
Financial crimes risk management or control design and evaluation related certifications.
The typical base pay range for this role is between $90k-$112k 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.
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 individuals associates or relatives that is protected under applicable federal state or local law.Required Experience:
Exec
Employment Type
Full-Time
