Regulatory Reporting Incident Management AVP

Mitsubishi UFJ Financial Group•Tempe, AZ

1d•Hybrid

About The Position

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.

Requirements

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 and regulatory exam requests, including preparation of evidence, issue narratives, and remediation documentation.
Familiarity with issue management, control frameworks, and data governance concepts (e.g., data quality, lineage, CDEs).
Strong written and verbal communication skills; able to produce clear, audit‑ready documentation and coordinate across stakeholders.
Proficiency with Microsoft Office; experience with issue tracking or GRC tools (e.g., Archer, ServiceNow, JIRA) preferred.
Bachelor’s degree in Accounting, Finance, Economics, Information Systems, or related field (or equivalent experience).

Responsibilities

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.
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.
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.
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.
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.