OTA Risk and Control Quality Assurance Analyst - Hybrid
Company: MUFG
Location: Charlotte
Posted on: June 26, 2022
Job Description:
Do you want your voice heard and your actions to count?Discover
your opportunity with Mitsubishi UFJ Financial Group (MUFG), the
5th largest financial group in the world. Across the globe, we're
180,000 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.This is a hybrid position.
There are flexible work from home options available. A member of
our recruitment team will discuss the options with you in more
detail.Job Summary:In this role you will focus on implementing
Quality Assurance (QA) frameworks designed to identify, evaluate,
and manage compliance (AML, OFAC and UDAAP) related risks and
controls across the company or a particular business or function.
Responsibilities include performing QA reviews of OFAC
dispositioning, AML Red Flags and Sales Practices.
- Effective and efficient execution of daily QA
responsibilities.
- Understand regulatory requirements that impact daily
operations.
- Developed and implemented compliance quality assurance
programs, framework and formal procedures.
- Collaborate with business process owners within the three lines
of defense to address compliance control gaps.
- Lead project planning and process improvement discussions.
- Develop and perform AML, OFAC and UDAAP QA reviews, clearly
communicating results to business units, Sanctions Compliance and
stakeholders.
- Developed monitoring and reporting dashboards to identify gaps
and potential compliance risks.
- Review and maintain various AML and OFAC QA reports for
accuracy, monitor and refer control deficiencies/gaps to AML
Working Group, Division Risk Managers, Global Sanctions Compliance,
Line of Business and Senior Management.
- Manage and resolve conflict and effectively challenge at all
levels of management and influence business outcomes.
- Represent First Line of Defense QA on policy matters that
affect operations and perform other duties assigned.Qualifications:
- Bachelor's degree in business administration, or equivalent
preferred
- Preferred: degree from a competitive school, demonstrating a
strong academic and extracurricular track record
- Preferred: Certified Internal Auditor (CIA), Certified Fraud
Examiner (CFE), Certified Anti-Money Laundering Specialist (ACAMS),
Certification in Risk Management and Assurance (CRMA)
- 1-3 years of experience in performing OFAC dispositioning
- 1-3 years of experience in Internal Audit, QA or Compliance
role
- Preferred: Banking or financial services
- Preferred: experience with process documentation, risk, and
control assessments
- Preferred: proficient with Microsoft Office (PowerPoint, Excel,
Word)
- Preferred: familiar with HotScan
- Ability to work independently with limited supervision
- Experience with process documentation, testing, risk and
control assessments
- Understanding of the regulatory environment and regulations
related to OFAC, AML and UDAAP
- Experience with problem solving in a team environment by
thinking outside of the box and providing innovative solutions,
with and without technology
- Experience and working knowledge HotScan
- Experience in Internal Audit methodology
- Experience in designing, implementing, and operationalizing
continuous control testing
- Ability to manage multiple priorities concurrently, prioritize,
and efficiently complete responsibilities while maintaining the
highest quality
- Ability to support work streams with sometimes limited
oversight/information from inception to completion
- Ability to identify obstacles and work in conjunction with
others to identify options/solutions
- Ability to constructively work both independently and in
collaborative environments involving all levels of management and
employees
- Strong written and verbal communication skills to articulate
information clearly and effectively
- Strong analytical skills that can work with data, dashboards,
and reporting#LI-HybridThe 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 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.Some MUFG roles require that individuals be fully
vaccinated against COVID-19, subject to exemptions for medical or
religious reasons, as well as any other reason required by
applicable law or order. Should you be selected for an interview,
your recruiter will provide additional information.#LI-Hybrid
Keywords: MUFG, Charlotte , OTA Risk and Control Quality Assurance Analyst - Hybrid, Accounting, Auditing , Charlotte, North Carolina
Didn't find what you're looking for? Search again!
Loading more jobs...