Regulatory Reporting Incident Management AVP

## About the role 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. ## 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