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Job Details

Transaction Banking Client Management Compliance Manager Director

Company name
Mitsubishi UFJ Financial Group, Inc

, CA

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Transaction Banking Client Management Compliance Manager, Director','10020522-WD','!*!Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world with total assets of over $2.4 trillion (as ranked by SNL Financial, April 2016) and 140,000 colleagues in nearly 50 countries. In the U.S., we’re 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that’s working to fulfill its vision to be the world’s most trusted financial group.

Job Summary

A leadership role responsible for establishing and maintaining an effective compliance program for Transaction Banking.  This role requires an individual experienced in handling the compliance needs associated with commercial treasury management relationships regarding the Bank Secrecy Act (BSA) and the U.S. Patriot Act. The ability to partner with various business partners from Transaction Banking Client Management (TBCM), BSA/AML, Central Intelligence Unit (CIU), Operational Risk Management (Risk Mgmt), Chief Risk Officer (CRO), Commercial Customer Service Unit (CCSU), which includes Middle Office Data Assurance (MODA), to ensure compliance with regulatory requirements and bank related policy/procedures regarding Customer Information Profile (CIP), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD).  Manage two or more compliance professionals and work with 100 sales management staff supporting TBCM and as needed, their clients. 

Major Responsibilities:


Establish, enhance, and maintain, TBCM compliance with policies and procedures as they affect TBCM, to ensure business compliance framework is effective and consistent with best practices standards.

Manage the process of monitoring and ensuring compliance within the area of responsibility.

Monitor, interpret, develop, and update policies and procedures in response to current bank, regulatory, and legislative developments.

If deficiencies or violations of applicable laws, regulations, and/or policies/procedures are detected, ensure that compliance issues are brought to the attention of the Transaction Banking Sales Administration Manager (TBSAM).

Recommend to TBSAM appropriate corrective action and ensure it is accomplished.

Effectively communicate changes in bank policies/procedures as well as federal/state compliance laws and regulations to ensure TBSAM, Head of TBCM, TBCM managers and staff are adequately informed.

Ensure such changes are made in a timely and cost-effective manner. 


Coordinate and manage regulatory examinations for TBCM by federal regulators, or other internal or external auditors.

Propose appropriate corrective action plans, regarding audit exceptions and recommendations, and keep TBSAM and applicable TBCM managers informed and involved through close of examination.

Develop compliance training programs for appropriate TBCM personnel. 


Assess and improve current compliance testing, reporting and escalation policies and practices for the TBCM.

Participate in TBCM business and internal compliance group meetings when appropriate.

Coordinate with bank personnel from BSA/AML, CIU, CCSU, MODA, Risk Mgmt, Legal Division, and other pertinent personnel as required.

Develop reporting requirements and processes required to effectively manage compliance activities for TBCM.

Responsible for monitoring compliance with controls, policies and procedures, and managing exceptions to resolution.

Responsible for escalating key issues to TBSAM, Head of TBCM, and Business Unit Risk Manager (BURM) to identify and participate in periodic training of personnel regarding current compliance, regulatory and policy/procedure development issues.


Work with assigned BURM to assess potential compliance issues in connection with proposed new products and impact on policies and procedures.

Areas of required subject matter familiarity or expertise include know your customer (KYC) requirements, CIP, CDD, and EDD.

Strong knowledge of commercial treasury management products/services and related operational processes/controls required.

Strong knowledge of regulatory and legal requirements for TBCM business is required.

Industry knowledge of compliance requirements for TBCM operations is required.','!*!

Minimum of 10 years of experience with a financial institution with direct experience in relationship management, treasury management, and compliance required.

BS or BA degree with prior management experience required.

Working knowledge of BSA/AML laws and regulations and/or Certified Anti-Money Laundering Specialist (CAMS) Certificate preferred.

Proven strong leadership skills required.

Strong written and verbal communication skills are necessary.

Excellent ability relating to maintenance of policy and procedures required.

Ability to manage key project initiatives while overseeing daily operations required.

Ability to work under pressure, make decisions and recommendations to TBCM management including TBSAM, Head of TBCM, CRO and BURM with regard to compliance and policy/procedure related activities required.

Knowledge of various bank systems strongly preferred, ESB, RCIF, Oasis and Rumba.Proficiency in Microsoft Office/Suite of applications or equivalent required.

This individual must act independently and directly with various TBCM and bank stakeholders to achieve their functional goals, including appropriate business partners as identified above.

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.','Risk & Compliance','CALIFORNIA-Irvine','CALIFORNIA-Brea, CALIFORNIA-Los Angeles','Apr 15, 2018','Day','Day','Full Time','Full Time','Transaction Banking Client Management Compliance Manager, Director

Company info

Mitsubishi UFJ Financial Group, Inc
Website :

Company Profile
004 July Announced commencement of discussions on the integration of Mitsubishi Tokyo Financial Group ('MTFG') and UFJ Group August Reached basic agreement on integration September MTFG implemented capital enhancement of UFJ 2005 February Integration agreement signed Announced new company name, merger ratio, management philosophy, corporate identity, etc. April Merger agreement signed June Merger approved at shareholders' meetings October Creation of Mitsubishi UFJ Financial Group ('MUFG') Listing of MUFG on the Tokyo, Osaka, Nagoya, New York and London stock exchanges Creation of Mitsubishi UFJ Trust and Banking, Mitsubishi UFJ Securities UFJ Nicos created and became a consolidated subsidiary 2006 January Creation of Bank of Tokyo-Mitsubishi UFJ June Delisting of shares from the London Stock Exchange Completion of repayment of public funds through secondary offering, etc. 2007 April Creation of Mitsubishi UFJ Lease & Finance, Mitsubishi UFJ NICOS September MUFG made Mitsubishi UFJ Securities a wholly-owned subsidiary of MUFG. Investment Unit Reduction through Stock Split and Adoption of Unit Share System. 2008 November MUFG made UnionBancal Corporation a wholly-owned subsidiary of MUFG 2010 April Creation of Mitsubishi UFJ Securities Holdings May Creation of Mitsubishi UFJ Morgan Stanley Sec

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