Audit Portfolio Manager, Vice President

Mufg New York , NY 10007

Posted 4 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) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we're 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that's working to fulfill its vision to be the world's most trusted financial group.

Job Summary:

The Vice President, Audit Manager position is a line management role within the Internal Audit for the Americas function. The position reports to either a Director or Managing Director. You are primarily responsible for project management on large scale BSA/AML projects and for engagement adherence to department standards. This includes supervision of the execution of assigned audit project work which includes planning, fieldwork, reporting, and issue tracking and follow-up. You are responsible for internal partner management and the supervision of and accountability for the quality of and judgment calls in audit work. You are also responsible for staff management on BSA/AML project engagements.

This position generally does not manage staff in a reporting line relationship, but does lead staff on an engagement-by-engagement assignment basis. There is an estimated range of 10% to 40% travel varying on your location as well as the location of key staff and stakeholders.

Major Responsibilities:

Structure and execute efficient and effective audits to:

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

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

  • You assess the state of the governance, risk management, and control environment aspects meaningful to that risk

  • You remediate issues raised by regulatory authorities including the OCC and FRB

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

  • You maintain compliance with audit methodology, while also operating within industry standard methodologies, applicable regulations, and internal and external professional practice expectations

  • You effectively manage partner relationships to a mutually accountable, productive, respectful, and trusted level

  • You act as a leader and role model and continuously improve self and department

  • Bachelor's Degree Required Accounting or Finance Preferred

  • Ten or more years of internal or external audit or risk management experience, including management responsibility

  • Experience within Financial Crimes (BSA/AML/OFAC) compliance audit

  • CAMS certification preferred

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

  • Experience working with the financial industry regulators, including OCC, FRB, and FINRA and responding to regulatory requests

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

  • Demonstrated knowledge 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

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

The above statements are intended to describe the general nature and level of the 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 Portfolio Manager, Vice President

Mufg