Compliance Testing Analyst
Requisition # 10035127-WD
Job Type Day
Location Tempe, ARIZONA
Date Posted 04/27/2020
Your potential. Your opportunity.
Compliance Testing Analyst
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 14,000 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.
As part of the Compliance Testing Analyst Program, the Compliance Testing Analyst position will report to the VP, Compliance Testing Analyst Program Manager, and will aid risk-based compliance testing execution teams in review activities of control testing and other compliance testing-program activities. This includes supporting the execution, maintenance, and reporting of testing performed internally, as well as performing sustainability testing by independently validating and assessing self-testing executed by business units. Compliance Testing Analysts will also support adherence to recently enhanced standards for the review and closure of Matters Requiring Attention (MRA) and Second Line of Defense-identified compliance issues.
Acting as essential resources for the overall compliance testing team, Compliance Testing Analysts will partner with Compliance Testing Managers and Testing Officers to assess the company's compliance with applicable regulatory requirements through robust compliance testing-program activities and issue closure validation tracking and reporting. Individuals will also work hand-in-hand with key business, compliance, risk and support functions to maintain appropriate testing forums, schedules and status reporting of all testing activity.
This program is a great opportunity for individuals looking to broaden their experience in the world of risk-based compliance testing and issues management. Compliance Testing Analysts will gain the opportunity to strengthen their skills, increase exposure to various areas within and outside of Compliance, broaden their business, regulatory, risk and issues management and compliance testing expertise, and develop a network of contacts across MUFG.
Major Job Responsibilities:
Compliance Testing Analysts will operate under the direction of the Compliance Testing Analyst Program Manager and provide support across activities that may include, but are not limited to, the following:
Assist Compliance Testing teams by executing thorough control and transactional testing in accordance of laws, rules and regulations within Compliance Testing
Maintain appropriate testing forums, schedules and status reporting of all testing activity
Manage intake, tracking, closure and reporting of MRAs and Second Line of Defense-identified issues consistent with Issues Management Standards
Coordinate testing work across multiple Compliance Testing teams to develop and execute comprehensive remediation validation
Obtain substantive periodic updates that evidence progress towards action plans and ensure timely input to issues management systems
Participate at the direction of the Compliance Testing Analyst Manager in issues-related and compliance testing-program activities
Manage files and documentation and perform special projects as needed
Complete regular trainings on compliance and risk topics, soft skills, and other subjects, as coordinated through the Compliance Testing Analyst Program
At least 2 - 3 years of business experience in Compliance, Audit, Banking, Risk or Issues Management; Strong Compliance Testing background preferred
Knowledge of compliance regulatory requirements
Must take initiative and be a self-starter
Excellent analytical and problem-solving skills, and ability to manage multiple tasks concurrently
Strong time management, teamwork, and organizational skills
Strong presentation, verbal and written communication skills
Strong attention to detail
Ability to interact professionally with all levels of the organization
Experience working with diverse and remote teams
Demonstrated proficiency in the following applications: Outlook, Word, PowerPoint, Excel (pivot tables, macros preferred), 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.
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.
Primary Location Tempe, Arizona
Schedule Full Time