Financial Crimes Compliance Audit Manager, 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:

Individuals in the Compliance Audit Job Function focus on the effectiveness of risk management and controls regarding laws and regulations across anti-bribery and corruption (ABC); anti-money laundering (AML); benchmark rates; financial crimes (e.g., violations of sanctions and Office of Foreign Assets Control, or OFAC, regulations); fraud; Core-Compliance (privacy, etc.); government and industry regulatory and policy-making agencies (e.g., Financial Industry Regulatory Authority, or FINRA, in the U.S. ., European Securities and markets Authority in Europe or the Financial Conduct Authority in the UK); know your customer (KYC) laws, rules, and regulations; surveillance (transactions); Market Abuse Regulation (EU); and sustainability, including Environmental, Social & Governance, or ESG
 

WORK EXPERIENCE:
• Internal or external audit or risk management experience including experience in financial crimes (i.e. Anti-Money Laundering, Sanctions, Anti-Bribery and Corruption)
• Experience with the financial industry and related markets, related regulatory bodies and/or Big 4 professional services firms
• Prior experience implementing continuous auditing and/or risk monitoring processes preferred
• Prior experience in data processing, database programming, and/or data analytics preferred
• Experience in building data visualization and/or reporting solutions through Power BI, Tableau, or similar BI tools
• Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc)
• Experience in financial crimes compliance audit or equivalent (e.g., BSA/AML, AB&C, Sanctions)

Responsibilities include:

• Audit Delivery and Planning

• Responsible for the execution and delivery of audit engagements, maintenance of the risk universe and risk assessments of the portfolio, delivering risk-based audit engagements and demonstrating appropriate coverage of the key risks

• Dynamically project-manage the audit plan, considering whether it remains relevant throughout the year, proposing changes as appropriate and addressing any challenges that might impact audit delivery timelines and/or timely review of workpapers

• Maintain regular touchpoints with stakeholders to drive and support effective issue management and promptly escalate challenges

• Address findings and management action plans through the life of the audit along with business stakeholders

• Deliver and execute all engagements in adherence to audit methodology and standards, meet established deadlines, and include formal signoffs of key documents and processes within the audit file

• Produce reports that are written for executive audience which are impactful, with clear key messages, factual, active voice, written in line with effective business writing requirements, and needing minimum edits

• Stakeholder Relationships

• Responsible for developing and maintaining constructive, collaborative relationships with relevant senior stakeholders providing a commercial perspective and effective challenge and guidance as an independent, respected voice; share feedback from industry network and other external sources; partner on initiatives and remediation activities

• Responsible for establishing regular meetings with senior stakeholders

• Responsible for partnering with stakeholders to demonstrate impact and influence through tangible outcomes and raised standards of controls and behaviors in the stakeholder’s Control Environment

• Audit Process

• Leading internal reviews to ensure compliance and ensure detection of deficiencies or violations of applicable laws and regulations

• Implemen