MUFG Union Bank Sr Compliance Testing Officer - Vice President in Woodland Hills, California

Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group/./

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/ Job Summary: /

As part of the MUFG Union Bank Compliance Division, establish and execute regulatory compliance testing covering lending activity within the main focus on small business and commercial mortgage lines of business and some residential lending.

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/ Major Responsibilities: /

  • Establish, design, and execute regulatory compliance testing of small business and commercial lending-oriented regulations.

  • Work with the Line of Business as well as the Compliance Manager to ensure all rules applicable to the line of business and the products supported are identified so that testing universe can be defined.

  • Evaluate and make recommendations for establishing testing priorities and approach based off of the testing universe.

  • Executes, organize and prioritize testing in a timely manner ensuring deliverables are achieved while maintaining accuracy.

  • Develop and document detailed testing scripts covering testing of controls evaluations and testing of transactions to assess adherence to compliance rules.

  • Prepare testing scope, workpapers, and reports capturing final results of testing.

  • Work closely with other Sr. Compliance Testing Officers and Testing Manager to ensure consistency among execution of testing and interpretation of rules.

  • Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s) and ensure testing scripts reflect such changes.

  • Prepare and potentially present reports to management regarding status of compliance testing in areas of compliance focus.

  • 5-7 years of experience within financial services industry preferred with emphasis on regulatory requirements. Comprehensive knowledge of federal lending regulations for small business and commercial lending.

  • Preferred experience with rules such as ECOA (Reg B), FDPA regulations and National Flood Insurance Program requirements, Anti-tying, HMDA, FCRA, and Community Reinvestment Act.

  • Minimum of 3 years of experience executing testing efforts or exposure to audit, quality control or quality management functions and results.

  • Strong testing/audit background related to regulatory compliance rules.

  • Experience in lending activities for small business and commercial lines of business, performing testing, quality control/assurance processes or internal/external audits.

  • Strong time management, interpersonal, communication, and leadership skills.

  • Strong analytical, research and problem solving skills.

  • Excellent verbal and written communication skills.

  • Ability to establish credibility and strong partnership with management and peers.

  • Ability to work under tight deadlines and successfully manage multiple tasks at one time.

  • Bachelor’s degree with professional certification preferred.

  • Ability to work autonomously and initiate and prioritize own work.

  • Ability to travel up to 10% of the time.

Location: Woodland Hills, Brea or Irvine, CA.

/ 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. /

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/ 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. /


Job: *Risk & Compliance

Title: Sr Compliance Testing Officer - Vice President

Location: CALIFORNIA-Woodland Hills

Requisition ID: 10014222-WD

Other Locations: CALIFORNIA-Irvine, CALIFORNIA-Brea