Associate, Governance & Controls

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The new Governance & Controls team forms part of Client Lifecycle Management (CLM) function which is situated within the Corporate and Investment Banking Division of MUFG Bank. However, this function acts as a centralized 1st line support team, providing support currently to MUFG Securities in London and MUFG Bank, London Branch.

MAIN PURPOSE OF THE ROLE

This role will sit within the newly established Governance & Controls function in Client Lifecycle Management (CLM). The function has responsibility for the oversight of controls and issues management across CLM, with scope to expand as the team and framework mature. The role holder will play a key part in supporting the design and implementation of a consistent governance and issues management framework across CLM, as well as providing ad-hoc governance and controls support as required.

The role requires close collaboration with stakeholders across all three lines of defence to ensure MUFG has a clear understanding of key risks, maintains the highest control standards, and balances regulatory expectations with business outcomes. A strong understanding of regulatory guidance, risk and control frameworks, and end-to-end business processes is therefore essential.

A core objective of the role is to help maintain a robust control environment within CLM, supporting positive audit and testing outcomes through effective issues identification, ownership, tracking, remediation, and closure, while fostering strong and effective stakeholder engagement.

KEY RESPONSIBILITIES

• Manage and track regulatory, audit and self-identified issues across Client Lifecycle Management (CLM), including development and monitoring of remediation plans, milestones and target dates to ensure timely and sustainable closure.
• Act as a central point of coordination for CLM issues management, maintaining momentum, identifying blockers early and supporting appropriate escalations where required.
• Support CLM governance forums by preparing materials, tracking actions and providing effective follow-up to ensure accountability and delivery.
• Liaise with second-line Compliance, Risk Management, Financial Crime and Audit teams to support the resolution of CLM-owned issues and respond to assurance activity.
• Validate the completeness of remediation actions prior to formal issue closure, ensuring alignment with Operational Risk Control standards.
• Produce clear, accurate and timely management information and presentations relating to CLM issues, controls, risk assessments and remediation activity.
• Monitor key actions and dependencies, providing appropriate challenge to issue owners to ensure actions are clearly defined, realistic and delivered to agreed timelines.
• Support the identification, assessment and mitigation of operational risks within CLM, including participation in risk assessments, controls attestations and reviews of control effectiveness.
• Proactively identify emerging risks and potential control gaps across CLM processes and support implementation of mitigating or compensating controls.
• Ensure significant incidents, control weaknesses and issues are appropriately recorded, reported and managed in line with internal frameworks.
• Support control testing, internal reviews and audits conducted by first line, second line and Audit functions.
• Contribute to the development and embedding of a consistent CLM governance, issues management and controls framework as the function matures.
• Build and maintain effective working relationships with business and control stakeholders locally and globally, managing conflicts of interest where applicable.

WORK EXPERIENCE

Essential:

• Relevant experience within Client Lifecycle Management (CLM), Operations, Client Onboarding, Client Maintenance, Offboarding or a related first-line control, governance or operations function within financial services.
• Experience supporting issue management, remediation or controls activities, including tracking actions, milestones and dependencies to closure.
• Experience working in a controlled environment, with an understanding of how control weaknesses, incidents or process failures may lead to governance or regulatory implications.

Preferred:

• Exposure to internal governance forums, audits, reviews or control testing activities.
• Experience supporting the development or enhancement of issues management, controls or governance processes.

SKILLS AND EXPERIENCE

Functional / Technical Competencies:

Essential

• Good understanding of first-line controls, issue management and governance frameworks, including regulatory, audit and self-identified issues.
• Aware of client lifecycle processes and how deficiencies in controls, data or process execution can create operational, conduct or regulatory risk.
• Strong organisational skills with the ability to manage multiple actions, priorities and deadlines concurrently.
• Ability to interpret policies, procedures and control requirements and apply them pragmatically to business processes.
• Ability to assess risk severity (leveraging Operational risk Guidelines) and prioritise issues based on materiality and impact.
• Structured and analytical approach to problem solving, including identification of root causes and remediation actions.
• Strong attention to detail and quality-focused mindset.
• Experience producing management information, summaries and presentations for governance or senior stakeholders.
• Ability to communicate clearly and effectively across business and control functions, providing constructive challenge where appropriate.
• Strong data analysis skills to help/provide support to CLM Issuer owners in driving issue closure within the agreed timeframes.

Education / Qualifications:

Essential

• Degree-level qualification or equivalent relevant industry experience.

We are open to considering flexible working requests in line with organisational requirements. MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership. We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.