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Regional Financial Intelligence Unit Director

at MUFG Americas

Posted: 4/24/2019
Job Status: Full Time
Job Reference #: 10026436-WD
Keywords: operations

Job Description

Regional Head of GFCD Financial Investigations Unit (FIU) - Americas (Director)

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we're 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that's working to fulfill its vision to be the world's most trusted financial group.

Job Summary:

Reporting into the Head of the Centers of Excellence for the Americas, with a matrix reporting line into the Global Head of Financial Investigations Operations Governance, this new position has been created for the purpose of establishing a Regional Financial Investigations Unit (FIU) capability for MUFG in the Americas. One of several key leadership positions in the newly established Center of Excellence for the Americas, this position will be responsible for providing leadership and oversight to the Americas FIU on work performed in the evaluation of Anti-Money Laundering (AML) alerts, cases and SARs and the accuracy and sufficiency of documentation. Serve as escalation point for unusual or suspicious activity. Oversee investigations teams covering all financial crime risk taxonomies across all products, branches and entities where the bank operates in the Americas, to include wholesale and retail clients, including Correspondent Banking.

Major Responsibilities:
  • Oversee the implementation and execution of processes in the Americas related to:

  • Assessment and disposition of transaction monitoring alerts
  • Submission of suspicious activity reports (SARs/STRs) as required by applicable regulations in all locations within the region.
  • Feedback to KYC teams related to account closure recommendations or risk rating increases
  • Subpoenas, 314(a), and 314(b) requests and other law enforcement investigations
  • Implements the FIU's policies, programs and procedures to ensure compliance with applicable legal, regulatory, and internal requirements across the Americas

  • Ensures that all FIU investigations and operations work is completed in a timely and efficient manner, while maintaining the highest standards for regulatory and compliance requirements

  • Escalation point for team leads for any cases that resulted in or from specific money laundering and/or terrorist financing concerns

  • Ensures that FIU reports are clear, thorough, and logically organized summarizing all pertinent intelligence analysis

  • Ensures that reports and regulatory submissions are written appropriately and maintains the highest standards for regulatory and compliance reporting requirements

  • Oversees and monitors the activities of FIU teams in various locations in the Americas ensuring management of an effective balance between quality and productivity

  • Liaises with internal audit, Global Financial Crimes Compliance Testing, and Global AML ("Quality Assurance") QA during reviews of FIU functions

  • Reviews internal audit, testing, QA and regulatory examination results, and takes corrective action as necessary with the proven ability to develop and execute action plans


  • Bachelor's Degree required

  • 10+ years of dedicated AML experience in transaction monitoring and investigations including correspondent banking as well as other complex high risk products and services.

  • 7+ years' experience in team managerial role

  • Strong project management, analytical, problem resolution and consensus building skills

  • Strong customer service orientation and a professional approach

  • Ability to interact with all levels within the organization

  • Ability to effectively lead and manage a large cross functional team with multiple spans and layers

  • Proven excellence in communication skills, both written and verbal and work closely with internal partners on communication strategies

  • Experience managing investigations for retail and wholesale customers.

  • Excellent planning and organizational skills

  • Strong negotiation and influencing abilities

  • Strategic thinker; able to think conceptually

  • Proven ability to develop productive business relationships with internal and external partners

  • Highly organized with proven ability to execute with excellence in a fast-paced environment

  • Demonstrated ability to work independently and with minimal supervision to identify issues and meet deadlines

  • Certified Anti-Money Laundering Specialist (CAMS) credential is a plus

Additional skills

  • Experience interfacing with banking regulatorsand enforcement staff

  • Thorough understanding of an effective regional and global financial crimes risk management framework

  • Demonstrated ability to manage multiple projects simultaneously and maintain completion of actions within set deadlines

  • Proven managerial skills necessary to successfully administer a core support and critical regulatory relationship function within a diverse organization and effectively coordinate between multiple business and support units

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 / 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.

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.

Application Instructions

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