Audit Manager - Data Management, Vice President

Mufg Monterey Park , CA 91754

Posted 3 months ago

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018). In the Americas, we're 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We're a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.

Job Summary:

The Audit Manager, Data Management Vice President position is a line management role within the Internal Audit for the Americas function, reporting to a Director - Senior Audit Manager. This position will play a key role in the management, monitoring and testing of enterprise data risk management, including project management on assigned audit engagements in adherence to department standards. This includes supervision of the execution of assigned audits, including planning, fieldwork, reporting, and issue tracking and follow-up. This position will also be responsible for internal stakeholder management, accountable for execution of high quality work, management of resources and timeline on individual audit engagements.

Major Responsibilities:

  • Work with the Audit Director to develop and maintain IAA's methodology for providing end to end coverage over "enterprise data"

  • Engage with business and/or technology audit teams throughout the execution of audits (planning) to establish testing objectives (scope/execution) and results (reporting)

  • Consolidate the results of data testing in audits for the fiscal year and publish a year end wrapper memo to include tactical and thematic messages to executive management

  • Co-champion the Data Management Center of Excellence (COE) activities, update Standard Audit Program as needed, deliver training to COE representatives and facilitate data management information sessions across IAA

  • Perform ongoing monitoring activities for strategic data initiatives

  • Demonstrate a comprehensive understanding of Enterprise Data Governance controls framework and provides input into the creation of audit plans

Position Attributes:

This position generally does not manage staff in a reporting line relationship but may manage staff on an engagement-by-engagement assignment basis. Travel may be required for the position, with an estimated range of 10-25% varying on the location of the incumbent as well as key staff, stakeholder and audit geographies.

Key Accountabilities:

  • Structure and execute efficient and effective audits to:

  • Identify potential risk, including awareness of risks both within span of control as well as enterprise-wide.

  • Assign and review the work of audit team members for assigned engagements in coordination with Audit Director.

  • Assess the state of the governance, risk management, and control environment aspects relevant to that risk.

  • Report results in an effective and timely basis, leading to appropriate remedial action and ongoing management of risk.

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

  • Effectively manage stakeholder relationships to a mutually accountable, productive, respectful, and trusted level.

  • Help transition the focus of coverage from the current state to the future strategic data initiatives environment, implemented as part of the Data Transformation initiatives.

  • Participate in business/technology project reviews that impact the data environments

  • Lead and be a role model as well as continuously improve self and the department

Qualifications:

  • 10 or more years of internal or external audit or risk management experience, including project management responsibility.

  • Experience with the financial industry and related markets, related regulatory bodies, and current industry events and trends.

  • Key Regulatory Requirements - applicable laws and regulations such as BCBS 239, Heightened Standards, CCAR, CECL, BSA/AML, etc.

  • Proficient in Enterprise Data Risk Management concepts including:

  • Enterprise Data Governance Frameworks (i.e. DCAM, DMBOK)

  • Data Standards data ownership/stewardship, data dictionary, data lineage, Key Data Elements (KDEs)

  • Reporting data quality including golden sources of data

  • Deep knowledge of risk assessment, audit methodology, and audit execution.

  • Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.).

  • Strong analytical and problem-solving skills.

  • Strong verbal and written communication skills.

  • Other skills as required in assigned areas of responsibility.

  • Compliant with MUFG Union Bank Code of Conduct, exhibits strong ethical behavior, and adheres to other similar professional requirements.

  • Knowledge in Enterprise Data Architecture strategies and solutions (preferred)

  • Knowledge and applicable of Data Visualization and Analysis tools (preferred)

  • Knowledge in data privacy and security, including applicable laws and regulations such as GLBA, GDPR, PCI, CCPA, etc. (preferred)

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.


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Audit Manager - Data Management, Vice President

Mufg