Regulatory Business Control Manager II ( Unsecured Lending ), Assistant Vice President

MUFG   •  

Tempe, AZ

Industry: Accounting, Finance & Insurance


5 - 7 years

Posted 87 days ago

This job is no longer available.

Job Summary:

The Regulatory Business Control Manager II is responsible for conducting transactional reviews in accordance with regulatory, state, agency, investor specific and/or departmental requirements to ensure compliance in the assigned product focus area(s). The focus area for this position is specific to servicing functions of unsecured consumer loans, credit cards and/or real estate secured transactions, as well as call monitoring. Some additional experience in both secured and unsecured servicing preferable but not required. Depending on the focus area, may be required to develop and produce monthly reports for executive management. Significant effect at division or group level, and has a moderate to significant effect on the Bank's overall operations, public image, and regulatory evaluation. Advise executive and line management on emerging risk issues, and assist the Servicing line of business personnel in establishing policies, procedures and controls.

Major Responsibilities:


80% -

  • Conduct account life cycle servicing process reviews.
  • Assist in the design, editing and standards of test questions.
  • Document clear, concise and persuasive findings and maintain required documentation supporting level of risk and issue identified.
  • Provide feedback, diagnose problems and recommend solutions.
  • Vast understanding of regulatory, state and agency requirements.
  • Assist management is data gathering of data for external and internal exams.
  • Provide technical assistance, training, informational sharing and team lead functions.
  • Seek continuous improvement by recommending changes to enhance testing control framework.
  • Keep up-to-date on changes in laws, regulations, agency and Bank policy impacting assigned product line focus and promptly communicate this information to manager.
  • Monitor the status of any necessary corrective actions.
  • Maintain effective working relationships with business partners.
    Initiate and complete special project assignments, such as due diligence examinations, task force projects, or special ad hoc reviews.
  • Perform other duties as assigned.
  • Follow all Bank established procedures.

20% -

  • Prepare written reports of quality control reviews including findings, analyses, conclusions and recommended actions.
  • Maintain internal tracking logs and create and maintain desk-top procedures.


  • Minimum 5 years of experience in unsecured consumer, credit card and/or real estate servicing quality control, quality assurance, audit, compliance and/or risk operations or equivalent with related work experience.
  • Excellent ability to analyze and communicate verbally and in writing and make recommendations effectively regarding complex laws and regulations to line of business personnel and senior management. 
  • Requires practical quality control, audit or quality assurance experience in unsecured consumer, credit cards and/or real estate servicing. 
  • A Bachelor's degree is typically required, and other professional certifications are desirable.

Requisition #: 10023034-WD