MUFG Union Bank Sr. Compliance Officer, Vice President in Irvine, California
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/ Job Summary: /
Ensure compliance for a group of assigned compliance focus area(s), and communicate this information to line compliance personnel, either directly or through one to three supervised compliance coordinators. Focus areas & scope include a specific compliance area(s), as well as oversight for other assigned areas, both frequently technical and complex (ex: IT Compliance, CRA, QC, etc.), which typically has at least division level impact of error, and has a moderate to significant effect on the Bank's overall operations, public image, regulatory evaluation, etc. Advise executive and line management on emerging compliance issues, and assist subordinates and line unit compliance officers in establishing policies, procedures and controls.
/ Responsibilities: /
Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s) and ensure that any subordinates and line managers in area of responsibility are adequately informed.
Ensure that changes necessitated by new or revised laws and regulations impacting the area of responsibility, including changes in policy and procedural manuals, are made in a timely manner.
Ensure that compliance issues raised by new products or operating system changes are adequately evaluated and addressed prior to implementation.
Set minimum standards for compliance testing, ensuring that compliance issues are brought to the attention of the Group/Division executive.
Coordinate regulatory examinations of assigned compliance focus area(s) by federal regulators or other internal or external auditors.
Propose corrective action plans, keep Group/Division executive informed and involved
Recommend to Group/Division executive corrective action and ensures that it is accomplished.
Provide technical assistance, training, information, and analysis to subordinates and line compliance personnel.
Keep Compliance Team Leader and/or Chief Compliance Officer informed of compliance issues.
Prepare and potentially present reports to management regarding status of compliance in areas of compliance focus.
May direct the work of lower level staff.
Extensive knowledge of lending laws and regulations, focusing on Fair Lending and UDAAP.
Strong ability to analyze, communicate, and make recommendations effectively regarding complex laws and regulations to line personnel and senior management.
Prepare and potentially present reports to management regarding status of compliance in areas of compliance focus
Minimum of 5 to 7 year’s experience in lending regulatory compliance, including leading regulatory exams, or equivalent banking work experience in the regulatory compliance area.
A BA or BS is required and professional CRCM certification is highly desirable.
Excellent communication presentation analytical and project management and consulting skills
Superior leadership and consulting skills, with prior management or team leader experience helpful
Intermediate to advanced knowledge of Microsoft Office
/ 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. /
Job: *Risk & Compliance
Title: Sr. Compliance Officer, Vice President
Requisition ID: 10015123-WD
Other Locations: CALIFORNIA-Woodland Hills