Global Financial Crimes - Director, Head of Americas Quality Assurance

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.

Qualifications

General

• Leading a team of GFCD QA Reviewers performing QA reviews of financial crimes controls in MUFG branches in the Americas region, to determine whether the control outputs meet the established quality objectives set out within the Global FCC QA Methodology.

• Maintaining and approving written QA operating manuals for conducting QA reviews in accordance with the Global FCC QA Methodology.

• Supporting the development and maintenance of the financial crimes controls to drive adherence to the Global FCC QA Methodology.

• Supporting the drive for central coordination, governance, and reporting, leveraging regional structures and best practices of GFCD.

• Reviewing QA reports summarizing the objectives and purpose, scope, QA review methods, limitations and a consolidation of the QA results for distribution to senior management within GFCD to provide an overview of the financial crime control effectiveness and facilitating the periodic reporting to the appropriate regional governing bodies.

• Escalating errors and exceptions identified during QA reviews in accordance with the Global FCC Escalation and Issues Management Standard and the validation of action plans to address QA findings.

• Coordinating with Regional Issues Management to monitor and track the resolution of QA identified issues and action plans.

• Establishing appropriate QA management routines and ensuring proper awareness of QA review results through the reporting of QA related KPIs and KRIs.

• Managing the relationship with the Americas Regional Financial Crime Office.

• Reviewing, approving and submitting MI to the Americas Regional Financial Crime Office and local Process Owners.

• Escalating QA challenges to the Head of GFCD QA and, if applicable, the Americas Regional Financial Crime Office.

• Supporting general compliance activities and other duties, including special projects as assigned.

• Acting as the primary interface with Americas regulators, auditors, testing and other assurance bodies on QA matters.

Governance

• Establishing and chairing the Regional QA Working Groups.

• Escalating matters from the Regional QA Working Groups to the Regional Financial Crime Office and Regional Heads of ABC, AML, and Sanctions, Regional Financial Crimes Management Forum (RFCMF), and Global QA Working Groups.

• Presenting at governance meetings on an ad hoc basis.

• Producing and circulating the supporting material and minutes for the Regional QA Working Groups.

• Supporting testing, audit and exams of the Americas Quality Assurance program including walkthroughs, responses to requests and observations.

Advisory

• Provision of general QA advice to all QA functions and escalating  as and when appropriate.

• Analysing how the advice might contribute to improving the Global FCC QA Methodology or supporting document templates.

• Training of QA functions across Americas, including MGS GFCD QA, to use the QA tools and documents.

Oversight

• Reviewing QA MI to identify themes, trends or significant variances.

• Assessing the effectiveness of QA functions in Americas.

• Execution of periodic consistency reviews of QA executed by MGS GFCD QA.

• Review, approval and submission of MI to the Americas Regional Financial Crime Office and Process Owners.

• Approval and distribution of the finalized QA tools and documents to be used by the QA function across the region.

• Coordination with Regional Issues Management to monitor and track the resolution of