in San Diego, CA / San Francisco, CA / Tempe, AZ / Irvine, CA
Compliance Officer II (Retirement Products), Vice President
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Location: San Diego, San Francisco, Irvine, CA or Tempe,
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
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
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
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
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
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.