OTA Regulatory Risk Remediation and Engagement Director


Job Description


Discover this rewarding opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we’re 14,000 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 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 key leader on the Operations and Technology for the Americas (OTA) Risk & Controls (RCO) team, the Regulatory Risk Remediation & Engagement, Director is a first line risk executive, responsible for a team of professionals who partner with OTA senior leadership to drive effective regulatory engagement, exam management and MRA remediation


This leader and team will be responsible for

building out exam and MRA management best practices, developing key messages for senior OTA leaders, establishing consistent protocols across OTA, and implementing strong governance practices

. The team will also work collaboratively with the Bank’s Regulatory Affairs Office, who is responsible for all regulatory activities at the Bank.  This role reports to OTA’s Head of Regulatory & Risk Control Tower, Director.

Major Responsibilities:

  • Leader of OTA regulatory management, developing effective governance and processes across the division.

  • Facilitate meetings both internally (Technology & Operations business areas, First, Second and Third Lines of defenses); and external partners (Regulators).

  • Own end-to-end management and oversight of regulatory engagement, exams and MRAs across OTA.

  • Design and implement best practices and drive consistent and effective execution.

  • Examine emerging regulatory trends, develop insights, and collaborate on solutions to sustain and strengthen the control environment.

  • Coordinate exam preparation, including understanding outstanding issues and industry practices specific to the exam.

  • Develop key messages for kick off materials and other communications.

  • Manage requests for information and track follow-up items through to completion.

  • Ensure appropriate management focus, monitor and facilitate remediation of MRAs; including project plan development, execution, status reporting and closure.

  • Develop reporting to OTA management on regulatory trends, exams and MRAs.

  • Establish management routines and procedures to ensure effective OTA-wide regulatory management.

  • Provide regulatory related subject matter expertise for relevant projects driven inside and outside of the OTA organization.

  • Maintain strong engagement across multiple stakeholders and collaborate with key senior business partners and regulatory partners.

  • Recruit, develop and retain key talent, ensuring that the resources dedicated to risk management are effective in carrying out the required functions.

  • Provide a holistic view of regulatory status to senior leadership and ensure the team effectively executes required functions.


  • 15+ years of experience working at a major financial institution on regulatory initiatives/programs, including management responsibilities.

  • Ability to deliver results within a complex environment; develop and drive best practices.

  • Excel at developing and communicating key messages to senior managers and regulators (OCC, FRB, etc.).

  • Understanding of regulatory requirements and/ or industry standards for exam preparation.

  • Experience designing and implementing regulatory management governance and frameworks.

  • Extensive experience with US regulatory, compliance and governance; experience directly interacting with regulators.

  • Demonstrated ability to attract, motivate, and retain talent; ability to create a unified team.

  • Strong leadership, people management and influencing skills; proven strength in relationship development and leading through influence across multiple stakeholders. 

  • Strong project management skills; ability to prioritize, manage and execute multiple priorities concurrently; includes an ability to independently drive work, and pragmatically solve problems.

  • Outstanding communication skills; able to foster close and collaborative productive working relationships across the organization and with Regulators.

  • Strong work ethic, ability to make decisions and work under tight deadlines; achievement oriented and takes initiative.

  • Prior experience working at a Regulatory Agency is a plus.

  • Relevant professional certifications a plus.

  • Bachelor's degree required; graduate degree preferred.

The above statements are intended to describe the general nature and level of the 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.

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