Data Trace Lead/ Regulatory Reporting Quality Assurance, Vice President

Full Time Tempe AZ MUFG

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020). In the Americas, we’re 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We’re a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.

Job Summary


Regulatory Reporting Quality Assurance is responsible for the independent validation of regulatory reporting data. RRQA interacts and collaborates with teams across the organization.


The Regulatory Reporting Quality Assurance Sr. Analyst will serve as an SME lead in support of the team’s independent validation framework through performance of transaction testing, with the objective of ensuring completeness and accuracy of the organizations end-to-end reporting process. This is a new position responsible for assisting with development of the Quality Assurance program covering significant regulatory reports (e.g. FR Y-9C, FFIEC 009, FR Y-14s, FR Y-15, FR 2052a, etc.).

Major Responsibilities:

  • Execute annual risk assessments in collaboration with internal partners and develop test plan.
  • Review regulatory reporting requirements and internal processes established to meet those requirements, including ensuring comprehension of underlying products, accounting concepts, data elements, and data flow.
  • Develop report specific testing methodology based on analysis of source system raw data, as necessary; work with other testing leads to ensure consistency across processes.
  • Develop and apply logic to test relationships in transaction level data and reporting requirements, as applicable, and review data attributes to confirm they meet the parameters prescribed for the data element.
  • Lead and perform end-to-end transaction testing (from point of origin to reporting) to ensure data accuracy, data integrity, completeness, and conformance with regulatory reporting instructions.
  • Maintain electronic workpapers, process flows, operating manuals and other meaningful process documents to ensure openness and meet internal Policy requirements.
  • Document findings in transaction testing memos, executive summaries, and committee reports.
  • Serve as liaison to other teams to ensure accurate and timely remediation of findings.




  • Are methodical and concise with strong attention to detail
  • Can apply technical understanding to practical problems
  • Are able to multi-task and adapt
  • Have advanced MS Excel and PowerPoint skills
  • Have excellent communication skills (both written and verbal)
  • Have a strong interest in financial products and new processes/systems/activities
  • Public accounting, internal audit or internal control experience in the financial
  • 7+ years relevant experience in a position of growing responsibility
  • CPA or Chartered Accountant, or equivalent, is strongly preferred
  • Knowledge of regulatory reporting (Federal Reserve, OCC, FFIEC) or US GAAP
  • Bachelor’s degree required in Accounting, Finance, Business Administration or related

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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