Policy Compliance, Controls Testing & Assurance, Vice President

Union Bank, N.A. Tempe , AZ 85280

Posted 2 weeks ago

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) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we're 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that's working to fulfill its vision to be the world's most trusted financial group.

Summary:

The Policy Compliance, Controls Testing & Assurance Associate will support assigned business lines and processes in policy management, training and awareness by providing guidance in risk management efforts and implementing risk control testing and assurance tools. The function is an integral part of our Risk Management function and has substantial interaction with the other Technology and Operations Risk & Control Management functions

Major Responsibilities:

  • Maintain a library of policies and standards defined by the second line of defense

  • Review second line policies and standards for timeliness, completeness and accuracy

  • Determine and communicate requirements for additional first line policies and standards

  • Assist in the definition of a risk management training and awareness program with supporting content for the first line of defense

  • Deliver risk management training to the first line of defense Risk Controls Testing and Assurance Test the design and effectiveness of key risk controls

  • Test compliance with policies and standards Identify key risk control gaps and deficiencies

  • Communicate key risk control gaps and deficiencies to the Director of Policy Compliance, Controls Testing & Assurance

  • Meet all risk and control framework requirements set by the second line Risk organization

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VIEW JOBS 3/22/2019 12:00:00 AM 2019-06-20T00:00 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) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we're 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that's working to fulfill its vision to be the world's most trusted financial group. Summary: The Policy Compliance, Controls Testing & Assurance Associate will support assigned business lines and processes in policy management, training and awareness by providing guidance in risk management efforts and implementing risk control testing and assurance tools. The function is an integral part of our Risk Management function and has substantial interaction with the other Technology and Operations Risk & Control Management functions Major Responsibilities: * Maintain a library of policies and standards defined by the second line of defense * Review second line policies and standards for timeliness, completeness and accuracy * Determine and communicate requirements for additional first line policies and standards * Assist in the definition of a risk management training and awareness program with supporting content for the first line of defense * Deliver risk management training to the first line of defense Risk Controls Testing and Assurance Test the design and effectiveness of key risk controls * Test compliance with policies and standards Identify key risk control gaps and deficiencies * Communicate key risk control gaps and deficiencies to the Director of Policy Compliance, Controls Testing & Assurance * Meet all risk and control framework requirements set by the second line Risk organization * 5 years in IT management or operations, technology or operational risk management, technology audit or related role, including experience testing and assessing controls * Experience in the financial services sector * Enjoy analyzing and discussing risks and controls * Detail focus/methodical Strong data management skills Strong verbal and written communication skills * Demonstrated ability to overcome obstacles and deliver assignments on-time and with high quality * High energy self-starter Knowledge of several banking business products The above statements are intended to describe the general nature and level of the 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. Mufg Tempe AZ

Policy Compliance, Controls Testing & Assurance, Vice President

Union Bank, N.A.