Corporate Function Compliance, AVP

Overview

The Compliance Professional, Assistant Vice President (AVP) – is responsible for identifying, assessing, monitoring, and overseeing compliance risk, ensuring adherence to regulatory requirements through risk assessments, monitoring, issue management, and policy governance, while providing independent challenge and advisory support to the business.

Responsibilities

• Provide Compliance coverage and oversight to the Chief Financial and Strategy Office, including subfunctions such as Enterprise Reporting & Analytics, Financial Planning and Analysis, Corporate Workplace Solutions, Controllers and Tax Services, Procurement and Accounting, among others.
• Provide independent second line of defense oversight of assigned Corporate Function as first line of defense, providing compliance advisory and credible challenge in accordance with the Compliance Risk Management framework.
• Maintain updated inventory of applicable laws, rules, and regulations, including but not limited to regulatory change management.
• Ensure business unit processes align with regulatory expectations through monitoring and oversight activities.
• Execute annual compliance risk assessments summarizing results into a comprehensive report.
• Track, support, and provide oversight of remediation efforts and open issues.
• Develop, maintain, and update assigned compliance standards and policies.
• Review third party vendor engagements for regulatory risk exposure.
• Prepare responses to regulatory exams (e.g., OCC, FRB), audits, and internal reviews by providing compliance artifacts, documentation, and data extracts as required.
• Collaborate with management and other business partners to successfully execute compliance program requirements.

Experience

• 5–10 years of experience in compliance, risk, audit, legal, banking, or related financial industry roles.
• Working knowledge of financial and regulatory reporting laws, requirements, and regulations.
• Experience providing Business Unit oversight and compliance advisory or managing regulatory expectations for financial institutions.
• Strong coordination skills with the ability to work across multiple teams and stakeholders.

Preferred Qualifications

• Experience overseeing the preparation, review, and submission of regulatory reports.
• Exposure to exam management or compliance risk management support activities.
• Understanding of US wholesale banking and experience maintaining strong process governance and control frameworks issued by the OCC and FRB.

Education

• Bachelor’s degree or equivalent combination of education and experience.

Pay

The typical base pay range for this role is between $97,000-$122,000 depending on job-related knowledge, skills, experience, and location. This role may also be eligible for certain discretionary performance-based bonuses and/or incentive compensation.

Benefits

For more information on our Total Rewards package, please click the link below. MUFG Benefits Summary