Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

The Compliance Officer will be a member of the Global Corporate & Investment Banking Compliance team with the objective of providing compliance support, guidance, and oversight to MUFG Bank’s Global Corporate & Investment Banking (“GCIB”) business unit.

Roles and Responsibilities:

The Compliance Officer will assist in the management of a robust compliance risk management program, covering GCIB activities, that fosters a strong culture of compliance. 

The Compliance Officer role includes the following:

• Advisory activities (i.e., activities to provide compliance advice to business areas as well as assisting to resolve regulatory issues),

• Oversight activities (i.e., activities to provide oversight of each unit's compliance program on-site and off-site to assess the suitability and quality of expected compliance-related activities),

• Compliance monitoring, analysis, and assessment (i.e., activities to identify and assess applicable laws, regulations, and other regulatory requirements),

• Facilitation (i.e., activities to serve as a first point of contact (including for escalation) for the business lines supported),

• Governance (i.e., activities to establish the processes and enforcement mechanisms that ensure compliance of applicable laws, rules, regulations, and policies),

• Reporting and Training. 

Although Compliance Officers must remain appropriately independent from the business lines that they cover, they are expected to help foster a strong culture of compliance both within their assigned business lines and throughout the Company. Compliance Officers serve as independent compliance advisors to the heads of their assigned business lines.

The Compliance Officer responsibilities include the following:

• Regulation identification, analysis, and change management; policies, procedures, and training development and deployment; business unit, product/service, third-party, or new business initiative risk assessments; monitoring; reporting; and regulator relationship management.

• Compliance risk mitigation, including compliance controls design and implementation.

• Timely closure of GCIB and Compliance open issues (related to core compliance topics). 

• Lead miscellaneous and related assigned projects, such as leading aspects of Marketing Compliance and Cross-Border Activities Compliance, and supporting GCIB Corporate Priority Initiative

The right candidate will have:

• 6+ years in banking compliance experience.

• Extensive knowledge of banking and securities regulations and environments.  

• Bachelor's degree is preferred, MBA or relevant graduate degree a plus.

• Compliance certifications (e.g., ACAMS, CRMC) or securities certifications (i.e., Series 79 and 24) a plus.

• Excellent interpersonal, communications, organizational, and time management skills. Strong analytical and research skills.  Ability to self-manage.

The typical base pay range for this role is between $129k-$170k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link belo

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.

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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.