Compliance Analyst
Monterey Park, CA  / Tempe, AZ 
Posted 4 months ago
Job Description
Compliance Analyst (10032186-WD)

Do you want yourvoice heard and your actions to count?

Discover youropportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largestfinancial group in the world (as ranked by S&P Global, April 2018). In theAmericas, we're 13,000 colleagues, striving to make a difference for everyclient, organization, and community we serve. We stand for our values,developing positive relationships built on integrity and respect. It's part ofour culture to put people first, listen to new and diverse ideas and collaboratetoward greater innovation, speed and agility. We're a team that acceptsresponsibility for the future by asking the tough questions and owning thesolutions. Join MUFG and be empowered to make your voice heard and your actionscount.

Job Summary:

Ensure compliance for a major business division, product line, or operational system. Communicate, coordinate and monitor regulatory compliance policies, systems and procedures for the area of responsibility and conduct internal unit audits. Structure and implement efficient and effective compliance programs and functioning systems of internal control under the supervision of a Compliance Manager and in coordination with Corporate Compliance.

Major Responsibilities:

  • Supervise the development of, including recommending and implementing, cost effective compliance strategies, policies and procedures.
  • Monitor and ensure compliance within the area of responsibility by
  • Ensuring the detection of deficiencies or violations of applicable laws and regulations
  • As appropriate, bringing compliance issues to the attention of the Compliance Manager and Corporate Compliance
  • Designing and coordinating corrective action.
  • Keep up-to-date on changes in federal and state compliance laws and regulations and ensure that line managers are adequately informed.
  • Initiate and coordinate changes necessitated by new or revised laws and regulations impacting the area of responsibility, including changes in policy and procedural manuals.
  • Assist business units and/or marketing in developing new products to ensure early recognition and resolution of compliance concerns prior to implementation.


Additional Information:

  • Minimum of four years of related experience in mortgage banking, consumer lending, corporate banking, deposit product management, branch management, international products, international operations, auditing, or other significantly regulated areas of banking.
  • Thorough working knowledge of Federal Regulations, Internal Control principles, Audit principles and techniques.
  • Well developed communications skills, analytical and project management 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.

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.


Job Summary
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Experience
4+ years
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