Global Financial Crimes - Quality Assurance Team Lead, VP

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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 in Tempe, Arizona is part of GFCD headquartered in New York. 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 organizationally resides within the Global Financial Crimes Compliance (FCC) Program Management department and 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 Am