Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 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.

About the role:

In this role, you will develop and implement a best-in-class Compliance Assurance & Oversight function within the Oceania Compliance team covering, but not limited to, the execution of end-to-end compliance testing and monitoring reviews (e.g., planning, fieldwork testing, reporting, issues validation, etc.).

What you’ll be doing:

Assurance

Design, document and execute the Compliance Assurance Plan (CAP) for Oceania branches.

Lead the Compliance Risk Assessments for the Oceania branches.

Perform compliance monitoring and testing of branch functions in accordance with CAP and the requirements of ACO/FCOA/GCD

Lead walkthrough meetings and interviews with business stakeholders to develop understanding of business processes.

Risks & Controls

Gather data, perform analyses and document results.

Execute detailed testing to assess compliance with regulations, firm policies and industry best practice.

Work closely with Compliance and business management to refine processes and controls.

Identify potential compliance and reputational risks, issues and incidents, assist in developing scope and work program and effectively escalate to appropriate individuals to ensure such risks, issues and incidents are handled in accordance with standards and procedures they relate to.

Draft and review localised versions of global and regional compliance test scripts to incorporate local regulatory requirements where required.  Influence design and components of regional test scripts.

Assist, from time to time, with assurance related projects as they relate to Oceania.

Anticipate the APAC Compliance Assurance Forum and participate as required.

Oversight

Assist in designing and documenting the Annual Compliance Plan (ACP) for Oceania branches in consultation with Compliance Advisory and ORR.

Prepare and distribute periodic and ad-hoc compliance reporting for management information in an accurate and timely manner.

Drive Core Compliance Issues from identification to closure/validation in line with the Banks standards.

As required, assist with audits, exams and/or thematic reviews as required.

Preparation of analytics and reports to identify, monitor and track compliance risks.

Promote awareness of compliance assurance and oversight requirements and provide advice as required.

Liaison with regional and global compliance teams to ensure timely, accurate and consistent reporting.

What we are looking for:

As the successful candidate, you will have at least 5 years of work experience at a financial institution relating to financial services compliance and risk management, and at least 2 years of work experience conducting thematic reviews and/or control testing.  Strong working knowledge of Australian and New Zealand financial regulations is also required.

Previous experience with people management is desirable, but this role can also provide an opportunity for the right person to step into a management position.

You’ll be able to manage multiple priorities and objectives simultaneously, be detailed-oriented and diligent.  Good communication and relationship-building skills are essential.

Relevant tertiary qualification and/or industry qualification is advantageous, but not essential to the role.

Mitsubishi UFJ Financial Group (MUFG) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.