Audit Quality Assurance, Associate

Union Bank, N.A. Walnut Creek , CA 94596

Posted 1 week 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 Associate, Senior Audit Quality Assurance & Improvement Program (QAIP) position is a staff role within the Internal Audit for the Americas (IAA) function, reporting to a Director and supervised by a Vice President. The position is responsible for assessing departmental conformance with the IAA standards and driving change to improve processes, procedures, and quality throughout the audit department globally. The primary coverage area of the role will be Global Financial Crimes, including AML, Sanctions and Bribery and Corruption.


  • Execute the annual quality assurance plan, performing reviews of planning processes, risk assessments, audit execution, and regulatory and audit issue validations

  • Assess the department's conformance with IAA's audit methodology, recommending and communicating improvement opportunities to the audit teams

  • Continuously improve audit practices and methodology based on knowledge of best practices, industry standards and regulations and present areas and opportunities for alignment

  • Maintain knowledge of and industry leading practices around audit quality assurance and improvement

  • Contribute thought leadership toward creating new or updated audit processes to be executed by IAA staff

  • Partner with the Training department to develop specific training topics based on the results of quality assurance observations

  • Demonstrate professional skepticism and personal accountability

  • Provide administrative support for prioritizing, scheduling and tracking progress on QAIP activities

  • Delivery of high quality work within designated timeframes and budgets


  • Three to seven years of relevant internal audit experience, including solid understanding of BSA/AML requirements

  • Experience with the financial services industry, related markets, and related regulatory agencies

  • Bachelors' Degree at an accredited college or university

  • Professional certifications, such as the CAMS, CPA, or CIA are highly desirable

  • Strong understanding of audit practices and methodology

  • Ability to influence stakeholders and challenge the status quo

  • Strong written and verbal communication skills

  • Strong project management skills and ability to coordinate/integrate efforts across multiple groups within audit

  • Highly motivated, self-starter

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.

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Audit Quality Assurance, Associate

Union Bank, N.A.