Internal Audit Financial Crimes & Compliance Issues Management, Associate 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 Auditor II role within the Internal Audit Financial Crimes & Compliance Issues Management function is responsible for monitoring of MUFG Americas Financial Crimes and Compliance-related audit issues and executing independent validation of the effectiveness of management’s corrective efforts to address the issues. The role includes, but it is not limited to reviewing and evaluating action plans proposed by business management to address issues, monitoring management’s progress in implementing action plans, validating corrective action implementation and escalating concerns to Audit Management. The role may also include assisting in the testing execution for internal audits led by the Financial Crimes and Compliance audit teams.

Major Responsibilities:

• Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.

• Act as a leader and role model and continuously improve self and department.

• Build relationships with peers and clients within organization and exhibit a high standard of performance and professional conduct that will create a culture of integrity and inclusion; where all individual and departmental choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct.

• Operate with an innovative and flexible mindset by continuously identifying ways to enhance consistency, efficiency, quality and/or value.

• Demonstrate professional skepticism and personal accountability.

• Lead walkthrough meetings and interviews with business stakeholders to develop understanding of business processes and issues corrective actions.

• Lead formal discussions with business stakeholders throughout the duration of audit engagements/issue validation to communicate status or concerns.

• Identify potential risks and controls and assist in developing scope and work programs.

• Evaluate design and operational effectiveness of internal controls and identify control weaknesses.

• Generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices, reporting findings and audit issues to Audit Management.

• Prepare workpapers and audit reports with documented results that adhere to methodology, applicable standards and regulatory requirements, using appropriate business and technical language.

• Document workpapers demonstrating the work was appropriately performed (e.g., detailed lead sheets describing the control attributes that were tested and the results were documented in a manner to support the conclusions reached, effectiveness and sustainable controls are evident in documentation). Documentation should stand alone to enable re-performance.

• Identify control weaknesses and escalate and discuss findings with Audit Management and business stakeholders as appropriate.

• Complete work on a timely basis and deliver work products that meet objectives and standards of methodology, applicable standards and regulatory requirements.

• Assist in development and production of internal reporting.

Qualifications:

• A Bachelor’s degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.

• Minimum of 5-6 years and/or equivalent of experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies.

• Experience preferred in Financial Crimes (Anti-Money Laundering Act, OFAC Sanctions, Anti-Bribery and Corrupti