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Years of Experience
Date Last Verified
ProfileCompliance Officer Commercial Lending / Vice President Major Responsibilities: Maintain close and effective relationships with management teams and serve as a trusted adviser to those teams as to compliance and regulatory matters. Act as the primary liaison between the Americas Compliance Division (ACoD) and the Bank's Commercial Lending units, including in respect of BSA, privacy, testing and monitoring functions, and regulatory change management. Manage the establishment and ongoing maintenance of a focused CL regulatory compliance risk management program, in accordance with Bank policy. Develop and/or enhance and document CL compliance-related policies, procedures, processes, and internal controls. Ensure that CL compliance-related policies, procedures, internal controls, and systems are fully established, operating, monitored and tested, as well as updated to comply with emerging regulatory requirements and expectations. Implement internal quality control processes, testing, and reporting designed to address CL compliance-related risks. Maintain a current awareness of the regulatory environment and a working knowledge of State and Federal laws and regulations. Identify specific CL compliance-related training and communication needs and ensure established training goals are met. Participate in the development of new CL products, services, policies or procedures to ensure proper consideration of regulatory compliance issues. Keep CL Management informed of pertinent compliance-related information. Research compliance issues and problems and provide interpretations and clarifications. Coordinate regulatory examinations within CL lines of business and serve as a liaison with regulatory staff. Coordinate remedial measures in response to issues raised in compliance examinations, audits, and quality control testing in CL lines of business.
Qualification and Experience
The candidate should have College degree. Should have JD degree, MBA and/or CRCM highly desirable. Should have 5+ years of corporate banking compliance, audit, risk management or legal experience in the corporate/wholesale banking or financial services industry. Strong knowledge of State and Federal laws and regulations related to CL lines of business, including ECOA/Reg B, FCRA, Fair Housing Act, Flood Insurance, Appraisal regulations, Regulation O, Antitying, Lending Limit, Insider Trading, Regulation W, and other applicable OCC and Federal Reserve regulations and authority. Strong product knowledge regarding commercial loan origination, syndication, distribution and enforcement matters, as well as loan sales, letter of credit facilities, tax exempt bond financings, swaps and derivatives; experience handling issues relating to material non-public information (MNPI), conflicts and multiple role issues. Strong knowledge of compliance requirements for commercial banking operations. Experience interfacing with banking and securities regulators. Demonstrated ability to manage multiple tasks and strong project management skills. Proven managerial skills necessary to successfully administer a compliance program within a diverse organization and effectively coordinate between multiple business units. Well developed oral and written communication skills. Interpersonal skills necessary to interact effectively at all levels of the organization, including Bank staff, management, directors, and regulatory examiners. Adept at reading and interpreting information written in highly technical and legalistic format. Solid judgment, strong negotiating skills, and a practical approach to implementation - including knowledge of Bank systems. Ability to balance regulatory requirements with the best interests of the Bank and its customers.
Mitsubishi UFJ Financial Group, Inc
7-1, Marunouchi 2-Chome