Regulatory Reporting Incident Management 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.

The Regulatory Reporting AVP, Incident Management will work within the Regulatory Reporting Incident Management function to support the execution of the firm’s Regulatory Reporting Incident Management framework. This role is responsible for coordinating the identification, assessment, escalation, and remediation of regulatory reporting incidents, ensuring issues are documented, tracked, and resolved in alignment with internal governance standards and regulatory expectations. The role partners closely with Regulatory Reporting, Finance, Risk, Data Governance, Technology, and Compliance teams to support transparency, accountability, and continuous improvement in regulatory reporting controls and risk management.

Major Responsibilities:

Regulatory Reporting Incident Execution & Coordination

• Support the execution of the Regulatory Reporting Incident Management process, including the identification, documentation, assessment, escalation, remediation tracking, and closure of regulatory reporting incidents and control breaches.
• Assist in applying established incident severity criteria, escalation thresholds, and governance protocols to ensure consistent and timely handling of issues.
• Coordinate the end‑to‑end lifecycle of regulatory reporting incidents, ensuring milestones, documentation, and approvals are completed in accordance with internal standards and timelines.
• Maintain accurate and complete incident records, including issue descriptions, impact assessments, remediation plans, and supporting evidence.

Incident Assessment, Analysis & Remediation Support

• Perform detailed impact assessments for regulatory reporting incidents, evaluating scope, materiality, affected reports, and potential regulatory, financial, or reputational risk.
• Support root‑cause analysis efforts by working with Regulatory Reporting, Technology, Data Governance, Risk, and Finance teams to identify underlying drivers of incidents.
• Assist in the development and tracking of remediation plans, ensuring corrective actions are clearly defined, appropriately prioritized, and aligned with control expectations.
• Monitor remediation progress and escalate delays, execution risks, or control concerns to the VP or senior management as needed.

Regulatory, Audit & Inquiry Support

• Support responses to internal audit, regulatory examination, and independent review inquiries related to regulatory reporting incidents and remediation activities.
• Assist in preparing documentation packages, timelines, and supporting evidence to demonstrate issue governance, remediation progress, and control enhancements.
• Help ensure consistency and accuracy in communications regarding incidents across Regulatory Reporting, Risk, Compliance, and senior management stakeholders.

Governance, Controls & Continuous Improvement

• Support the maintenance and enhancement of incident management procedures, templates, and documentation standards to improve consistency, transparency, and audit readiness.
• Identify recurring incident themes, control gaps, or process weaknesses and contribute to recommendations for preventative and detective control enhancements.
• Partner with Regulatory Reporting and Data Governance teams to help translate incident findings into improvements in report production processes, documentation, and controls.
• Contribute to lessons‑learned reviews and continuous improvement initiatives to reduce the likelihood of repeat incidents.

Cross‑Functional Collaboration & Change Support

• Coordinate with cross‑functional stakeholders—including Regulatory Reporting, Finance, Risk, Data Governance, Compliance, Technology, and Internal Audit—to support timely and effective incident resolution.
• Assist in impact assessments for regulatory changes, system implementations, data migrations, and Finance Transformation initiatives that may affect regulatory reporting risk.
• Support bank‑wide initiatives by ensuring incident management considerations are incorporated into new processes, systems, and control frameworks.
• Perform other projects or duties as assigned in support of departmental and enterprise objectives.

Qualifications: Education:

• 2-4+ years of experience in Regulatory Reporting, Finance Controls, Risk/Data Governance, or related areas within a financial institution.
• Practical experience supporting regulatory reporting issues/incidents, including documentation, impact assessment, remediation tracking, and closure.
• Strong working knowledge of U.S. regulatory reporting and controls; hands‑on experience with reports such as FFIEC 002, FR 2052a, FR Y‑15, FFIEC 019, TIC, or similar.
• Solid understanding of regulatory reporting production processes, data sourcing, reconciliations, internal controls, and common drivers of reporting errors.
• Demonstrated ability to perform root cause analysis, variance analysis, and materiality assessments independently.
• Experience supporting audit and regulatory exam requests, including preparation of evidence, issue narratives, and remediation documentation.
• Familiarity with issue management, control frameworks, and data governance concepts (e.g., data quality, lineage, CDEs).
• Strong written and verbal communication skills; able to produce clear, audit‑ready documentation and coordinate across stakeholders.
• Proficiency with Microsoft Office; experience with issue tracking or GRC tools (e.g., Archer, ServiceNow, JIRA) preferred.

Education:

• Bachelor’s degree in Accounting, Finance, Economics, Information Systems, or related field (or equivalent experience).

The above statements are intended to describe the general nature and level of the 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.

The typical base pay range for this role is between $87K - $147K depending on job-related knowledge, skills, experience, and location. This role may also be eligible for certain discretionary performance-based bonuses 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.