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Audit Quality Assurance, Vice President

Company: MUFG Union Bank
Location: New York
Posted on: February 16, 2020

Job Description:

DescriptionDo you want your voice heard and your actions to count?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, were 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. Its part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. Were 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.The Vice President, Senior Audit Quality Assurance & Improvement Program (QAIP) position is a leadership role within the Internal Audit for the Americas (IAA) function, reporting to a Director. The position is responsible for assessing departmental conformance with the IAA standards and inspiring 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.Major Responsibilities:

  • You lead and execute the quality assurance plan, performing reviews of planning processes, risk assessments, audit execution, and enforcement actions and regulatory issues validations
  • You develop QA testing programs designed to effectively assess the departments conformance with IAAs audit methodology and regulatory requirements, including challenging audit scope, execution, and conclusions
  • You draft quality assurance reports recommending and communicating improvement opportunities to the audit teams
  • You continuously improve audit practices and methodology based on knowledge of best practices, industry standards and regulations and present areas and opportunities for alignment
  • You maintain knowledge of and industry leading practices around audit quality assurance and improvement
  • You proactively monitor changes to BSA/AML regulatory requirements
  • You develop and conduct specific trainings based on the results of quality assurance observations
  • You demonstrate professional skepticism and personal accountability
  • You deliver high-quality work within designated timeframes and budgetsQualificationsQualifications:
    • Minimum of eight years of meaningful internal audit experience, including solid understanding of BSA/AML requirements (e.g., KYC, OFAC/Sanctions, Transaction Monitoring)
    • Strong knowledge of bank and branch operations, including retail banking
    • 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 helpful
    • Strong understanding of audit practices and methodology
    • Ability to influence partners and challenge the status quo, including handling conflicts and issue resolution
    • Strong written and verbal communication skills
    • Strong project management skills and ability to coordinate/integrate efforts across multiple groups within audit globally
    • Highly motivated, takes initiative, problem solver, solution orientedThe 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, its the banks policy to only inquire into a candidates 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.Job: FinancePrimary Location: NEW YORK-New YorkShift DayReq ID: 10030432-WD

Keywords: MUFG Union Bank, New York , Audit Quality Assurance, Vice President, Accounting, Auditing , New York, New York

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