Compliance Tech AVP

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 150,000 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

Overview

The Assistant Vice President (AVP) – Compliance Technology will support the oversight, execution, and ongoing management of Financial Crimes Compliance (FCC) and Core Compliance technology platforms within the Americas region. This role will focus on delivery execution, technology governance, regulatory support, and coordination across business, IT, and vendor teams.

The AVP will play a critical role in ensuring compliance technology solutions meet regulatory expectations, enterprise technology standards, and business requirements, while supporting ongoing change initiatives, system enhancements, platform upgrades, and regulatory exams.

Key Responsibilities

• Support the oversight and day‑to‑day management of Financial Crimes and Compliance technology platforms (e.g., transaction monitoring, sanctions screening, electronic communications surveillance, trade/market surveillance).
• Ensure technology solutions align with enterprise standards, regulatory requirements, and internal control expectations.
• Partner with business and compliance stakeholders to understand regulatory and functional needs and translate them into technology requirements.
• Support and manage technology initiatives including upgrades, enhancements, and remediation efforts.
• Participate in UAT, testing coordination, and validation activities to ensure changes are implemented accurately and safely.
• Assist with change management processes, ensuring proper documentation, approvals, and audit trails are maintained.
• Support responses to regulatory exams (e.g., OCC, FRB), audits, and internal reviews by providing technology artifacts, documentation, and data extracts as required.
• Assist in coordinating regulatory responses related to technology platforms, data, and system controls.
• Support compliance with technology governance requirements including SRRP, system inventory management, risk assessments, technology standards, and control attestations.
• Coordinate with ITA, architecture, security, and risk partners to ensure compliance systems meet required standards.
• Track and support remediation of identified gaps or findings related to compliance technology.
• Work closely with vendors and consultants to support solution delivery, platform enhancements, issue resolution, and ongoing platform support.
• Coordinate across business, compliance, IT, and vendor teams to ensure clear communication and timely resolution of issues.
• Act as a point of contact for assigned platforms or initiatives.

Required Qualifications

• 5–10 years of experience supporting enterprise technology platforms, technology governance, system implementations, technology project delivery, or compliance technology solutions within the financial services industry.
• Working knowledge of Financial Crimes Compliance concepts (AML, sanctions, transaction monitoring, screening).
• Experience supporting technology projects, platform upgrades, testing activities, or regulatory-driven change initiatives in a financial services environment.
• Strong analytical, problem-solving, and stakeholder management skills with the ability to work across business, compliance, technology, and vendor teams.
• Working knowledge of SDLC, change management, and technology governance processes.

Experience

• Experience supporting enterprise technology platforms, technology projects, system implementations, or technology governance activities within the financial services industry.
• Experience working with compliance, risk, regulatory, or Financial Crimes technology solutions.
• Experience coordinating testing, technology change activities, system enhancements, and production implementations across multiple stakeholders.

Preferred Qualifications

• Experience supporting FCC or Core Compliance platforms (e.g., Actimize, transaction monitoring, screening tools, electronic communications surveillance, trade/market surveillance).
• Exposure to regulatory exams or audit support activities.
• Experience working with offshore or external vendors.
• Experience working within Agile, Waterfall, or hybrid project delivery environments.

Education

• Bachelor’s degree in Technology, Information Systems, or a related field.

Other

• As per MUFG’s work policy for all personnel, candidates must work onsite for 4 days and 1 day remotely.

The typical base pay range for this role is between $92,000-$118,000 depending on job-related knowledge, skills, experience, and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.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 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.