MUFG Union Bank Effectiveness Review Team, Vice President in New York, New York

Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group/./

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/ Major Responsibilities: /

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Responsible for supporting the CERT (Compliance Effectiveness Review Team) function and leading an Effectiveness Review Team in performing deep dives and targeted risk based thematic reviews of OFAC and other sanctions related compliance processes globally with an emphasizes on effectiveness measures taken to monitor and mitigate sanctions risk./


  • Lead a team of reviewers in conducting sanctions compliance effectiveness reviews for BTMU branches globally that evaluate the effectiveness of existing sanctions compliance reviews, as well as the design and implementation of relevant controls, such as sanctions escalation processes, documentation of policies and procedures, sanctions assessments, related reporting, list screening, regulatory change management, governance framework, and training

  • Draft work plans that incorporate regulatory expectations, industry developments and lessons learned from regulatory finding and internally identify issues by compliance testing and internal audit

  • Prepare reports summarizing the objectives, scope, findings and conclusions of completed Effectiveness Review

  • Assist in the validation of Management Action Plans designed to address remediation efforts and testing review findings

  • Assist the Director of the Effectiveness Review Team with establishing appropriate testing management routines and working sessions to ensure proper awareness of effectiveness review results

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

  • BA/BS Degree; JD or CPA a plus

  • At least 7 years of experience within the financial crimes area of a global bank or financial services industry preferred.

  • Experience with compliance testing, quality control/assurance processes or internal/external audits.

  • Minimum of 3 to 4 years of experience leading testing efforts or exposure to quality control or quality management functions and results.

  • Working knowledge of sanctions compliance laws and regulations.

  • Excellent judgment and analytical skills.

  • Test script creation and/or experience with the test scripting process.

  • Experience in leading diverse testing teams

  • Strong written and verbal communication skills

/ 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. /

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T o learn more about MUFG, review all current career opportunities, and apply please visit us online:

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/ We are committed to leveraging the diverse backgrounds, perspectives and experiences of our workforce to create opportunities for our people and our business. Equal Opportunity Employer: Minority/Female/Disability/Veteran. /

Job: *Risk & Compliance

Title: Effectiveness Review Team, Vice President

Location: NEW YORK-New York

Requisition ID: 10010787-WD