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Retirement Products Compliance Officer, VP

MUFG Union Bank

in San Diego, CA / San Francisco, CA / Tempe, AZ / Irvine, CA

Compliance Officer II (Retirement Products), Vice President

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. 

Location: San Diego, San Francisco, Irvine, CA or Tempe, AZ


  • Daily guidance and direction to the Retirement Plans Center (part of the Retail Bank), Union Bank Investment Services (Broker Dealer) and Trust and Estate Services regarding compliance related matters
  • Assist with the implementation of new regulatory requirements related to ERISA and applicable IRS requirements
  • Assist with the implementation of new retirement plans products and services to ensure ERISA and IRS requirements are met
  • Assistance with the development of second line of defense testing and monitoring programs Governance and reporting to Retail/Retirement Plans Center management, Americas Compliance Division  (ACoD) and various committees
  • Interact with various regulators and/or other federal or state agencies that may conduct ERISA and IRS examinations or inquiries
  • Review applicable Bank policies and procedures to ensure they cover regulatory requirements and document required mitigating controls
  • Review applicable department training to ensure it covers applicable regulatory requirements
  • Conduct Business Unit Compliance Risk Assessments and applicable Horizontal Compliance Risk Assessments
  • Act as the Primary Regulatory Lead (PRL) for various retirement products and DOL fiduciary regulations
  • Serve as DOL Chief Conflicts Officer, within Wealth Markets Global Trust Compliance, to monitor and track LOB DOL related conflict mitigation strategies  
  • Monitor complaint trends to identify any systemic issues that need to be addressed


  • Typically requires a minimum of six years of compliance experience in the focus area or equivalent banking work experience in regulatory compliance, or other related area of banking, with at least three years of direct compliance experience.
  • A BS degree is typically required, and professional certification in either CRCM or CRP is highly desirable.
  • Excellent ability to analyze, communicate verbally or in writing and make recommendations effectively regarding complex laws and regulations to line personnel and senior management.
  • Demonstrate superior leadership, consulting, presentation and project management skills.
  • Intermediate knowledge of Microsoft Office or equivalent most Compliance focus areas, some areas require proficient knowledge of CRA Wiz, MS Access, and MS Excel.
  • Retirement products, ERISA, and/or DOL Fiduciary Rule knowledge.

How to Apply

To apply, please go to and reference requisition number 10010663-WD

OR send your resume to Angie Trinidad, VP Sr. Recruiter, at

Visit our web site.

This ad has been viewed 942 times. It expires on 6/16/2017.

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