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Head of Records and Information Management, Vice President

at MUFG Americas

Posted: 2/11/2019
Job Status: Full Time
Job Reference #: 10025448-WD
Keywords: operations

Job Description

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
The Head of Records and Information Management (Head of RIM) reports to the Chief Compliance Officer for the Regional Bank (CCO). The Head of RIM leads a records management compliance program for the Regional Bank involving training; testing; risk assessment; issues management; compliance reporting; governance, risk and control (GRC) system administration; compliance metrics; and policies and procedures management. The Head of RIM manages a team of 4 professionals and interacts to a significant extent with Line of Business Compliance Officers and centralized utilities providing testing, reporting and training services to Americas Compliance.
Major Responsibilities:
  • Design and execute strategic vision for RIM as a compliance-oriented program within the Americas Risk Management Group, including a roadmap, budget plans (as necessary), and personnel objectives.
  • Develop products (resources/forms/templates) and services (advisory subject matter expertise) for internal clients.
  • Create and maintain a network of liaisons to enhance engagement with enterprise business functions, disseminate RIM resources, and support understanding of the benefits of RIM compliance.
  • Support integration of additional legal entities as the scope of the RIM Program expands over time.
  • Chair the cross-functional RIM Working Group committee, driving support for existing / contemplated RIM projects, raising awareness of program offerings, and ensuring RIM support is available for business-initiated projects as well as enterprise initiatives.
  • Serve as the primary subject matter expert in all areas of Records and Information Management, including but not limited to the establishment of records management related standards, record lifecycle management, interpretation of records retention requirements, and enterprise RIM governance.
  • Approximately 10 years of relevant experience with progressively increasing responsibilities.
  • 5+ years of experience in financial services or the banking industry preferred.
  • Post-graduate training or certificate in records retention management, general finance management, office management, program management, project management, or legal support.
  • Strong knowledge of regulatory and industry-based retention requirements.
  • Bachelor's degree required. JD preferred.
  • IGP, CRM, or CIP preferred.
Critical Competencies and Attributes for Success:
  • Is a seasoned professional with a breadth of compliance knowledge and experience with an operational mindset and the ability to effectively integrate records management into business operations in a practical and effective manner.
  • Possesses a proven track record as an effective leader of dispersed teams who can manage and lead through change. He or she will operate effectively within a complex, global, and highly matrixed financial institution must have the ability to build collaborative and productive working relationships, consensus and a sphere of influence with business teams and others across all functions.
  • Is a recognized thought leader, with proven ability to think and act globally, harmonizing global, regional and local objectives and mandates within his/her organization. Also, a highly developed sense of judgment, risk management skills, and ability to balance business needs, regulatory obligations, and reputational risks in an objective, practical way. And, demonstrates the ability to both grasp the big picture and attend to details.
  • Possesses broad-based leadership skills. Has a demonstrated ability to motivate and engage employees, build teams and relationships, and engender a sense of results-orientation, personal and organizational accountability, independence, and fairness among colleagues and employees, particularly in a diverse environment. Demonstrated ability to identify and develop talent.
  • Fearlessly takes on issues and challenges. Comfortably confronts and works through conflict; delivers constructive feedback and messages without hesitation; deals promptly and fairly with problem performers; lets everyone know where they stand; thrives in crises and is energized by tough challenges; not afraid to make tough decisions; challenges the status quo.
Other Personal Characteristics:
  • Strong work ethic.
  • Ability to drive results either individually, as part of a team, or through the direction of others.
  • Ability to delegate appropriately and coach direct reports.
  • Ability to organize and prioritize tasks.
  • Ability to reflect and maintain integrity.
  • Ability to acclimate and be successful in the existing corporate culture.
  • Ability to tolerate ambiguity and to remain flexible under pressure.
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.
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.

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