COO & Audit Professional Practices, Assistant Vice President

Mufg New York , NY 10007

Posted 11 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.


The Associate position is a line management/individual contributor role within the Internal Audit for the Americas function. It reports to a VP, Audit Manager. The position is primarily responsible for MRA and Issue validation across Risk Management including CCAR, Treasury & TPRM (Third Party) business areas. This includes execution of validation for assigned MRAs / issues, including planning, fieldwork, reporting, and issue tracking, validation, and closure.


This position generally does not manage staff in a reporting line relationship. Travel may be required for the position, with an estimated range of approximately 10-15% varying on the location of the incumbent and key staff and stakeholder and audit geographies.


Responsibilities include, but are not limited to, the following:

  • Performing independent issues / MRA validation.

  • Liaising with business lines, audit relationship managers, other internal stakeholders, and with the auditees themselves regarding material sanctions concerns.

  • Documenting the findings as appropriate.

  • Presenting for approval to appropriate stakeholders.

  • 4 years of experience within the risk management business area of a global bank or financial services industry preferred and/or auditing risk management business area.

  • Experience with performing compliance testing, quality control/assurance processes.

  • Some knowledge of risk management related laws and regulations.

  • Excellent judgment. Experience in working in diverse testing teams.

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

  • Knowledge of risk assessment, audit methodology.

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

  • Ability to identify and understand controls in changing environments.

  • Ability to interact with both business and technology owners/ auditors, translating issues and observations into plain language and formulating the impact and root cause in business terms.

  • Strong analytical and problem solving skills.

  • Strong verbal and written communication skills

  • Compliant 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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