Records and Information Management (RIM), Assistant Vice President

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 120,000 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.

Job Summary: 

The Records and Information Management (RIM) Senior Analyst is responsible for supporting the strategic implementation of the Americas RIM Program. This role supports audit, regulatory and litigation readiness regarding proper recordkeeping across the Bank. The RIM Senior Analyst also acts as a subject matter expert on Records & Information Management principles and practices by researching, understanding and sharing knowledge on regulations/trends/best practices in order to continuously derive business value from the RIM Program. In addition, they are responsible for the maintenance of RIM Program Materials and assisting with the day-to-day operations of the records management compliance program for the Americas. This role will collaborate with the Americas RIM Program Lead and other team members in the areas of training, compliance testing, risk assessment, issues management, compliance reporting, governance, compliance metrics and policy and procedure management. Note: this role will also provide support to the Third Party Compliance Risk Management (TPCRM) Program for compliance monitoring, metrics/reporting and ad hoc needs. 

Success Criteria for this Role: 

• Possess a breadth of compliance knowledge and experience with an operational mindset and the ability to effectively integrate records management into business operations.
• A highly developed sense of judgment, risk management skills and ability to balance business needs and regulatory obligations in an objective, practical way.
• Demonstrates the ability to both grasp the “big picture” while attending to details.
• Strong oral and written communication skills; able to tailor messages depending upon the communication vehicle and audience; able to articulate common records management principles and their value in a manner that’s engaging and easy to understand. Comfortable presenting to large and/or cross-functional groups both virtually and in-person as needed.
• Superior customer service and interpersonal skills
• Skilled in M365 applications and other platforms common to financial services; able to learn new technology for adoption in a rapidly changing environment.
• Comfortably confronts and works through conflict; delivers constructive feedback and messages without hesitation; deals promptly with problems that arise; seeks out opportunities to engage with others outside of the department; thrives in crises and is energized by challenge; able devise new ways of doing things and able to communicate ideas clearly to others.

Responsibilities: 

• Assist in the management of the RIM Liaison Network (personnel embedded across lines of business trained on RIM) by offering guidance, providing training, building/maintaining written resources (such as job aids and tutorials), and maintaining a virtual space for collaboration (e.g., via MS Teams, SharePoint or MUFG’s “Bridge” intranet space).
• Complete compliance reviews of third parties on behalf of RIM in conjunction with the Third-Party Compliance Risk Management process.
• Review and triage open issues within the Issues Management Process (using Open Pages) for RIM-related risks, engaging with issue owners to assist in resolution.
• Assess and respond to inquiries submitted to the RIM support mailbox to advise stakeholders with a high degree of confidence and proficiency on RIM practices and requirements. Follow through to completion.
• Develop, maintain and report on Americas RIM Program & Third Party Compliance program metrics.
• Refresh the RIM SharePoint site and intranet presence as necessary, including the revision of online collateral to accurately reflect regular changes to RIM Program Materials.
• Maintain evidence of compliance with RIM Controls and act as custodian for all essential RIM Program Materials.
• Work with Information Technology and Project Management colleagues to advise on projects that are potentially impacted by RIM Controls/Requirements and provide critical subject matter expertise.

Experience: 

• Five or more years of relevant experience in records management or information governance.
• More than 3 years of experience in financial services or the banking industry (or other highly regulated environment) preferred.
• Experience creating or maintaining a Records Retention Schedule.
• Bachelor’s degree required.
• IGP, CRM or CIP preferred.

The typical base pay range for this role is between $83k-$112k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus 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.

Read Full Description