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Global Financial Crimes Audit Issue Validation- Vice President

Company: MUFG
Location: New York
Posted on: December 4, 2019

Job Description:

Discover youropportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largestfinancial group in the world (as ranked by S&P Global, April 2018) withtotal assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and150,000 colleagues in more than 50 countries. In the U.S., we?re 13,000 strong,working together to positively impact every customer, organization, andcommunity we serve. We achieve this by delivering on our values, putting peoplefirst, fostering long-term relationships built on honesty and mutualunderstanding, and inspiring the best in each other. This is all part of ourinclusive, high-performing culture supported by Total Rewards that include ourcash balance pension plan. Join a team that?s working to fulfill its vision tobe the world?s most trusted financial group.Job Summary:The VicePresident, Audit Manager Position is a line management role within the InternalAudit for the Americas function. The position reports to a Director. You areprimarily responsible for validation of BSA/AML & Sanction issues includingregulatory (i.e. Consent Order) related items. This includes testingremediation efforts, providing effective challenge and drafting and reportingclosure validation templates. You are responsible for internal partnermanagement and the supervision of and accountability for the quality of andjudgment calls on issue validation matters.This positiongenerally does not manage staff in a reporting line relationship, but does leadstaff on an engagement-by-engagement assignment basis. There is an estimatedrange of 5% to 10% travel varying on your location as well as the location ofkey staff and stakeholders.Major Responsibilities:?Structure andexecute efficient and effective issue validation to:

  • You understand risks identified by the issue beingremediated and develop test plans toproperly test the updated control environment
  • You create test plans to validate remediated issues and present resultsto management
  • You review audit team members Issue validation andConsent Order related work
  • You assess the state of the governance, risk management, and controlenvironment aspects to determine if the issuehas been properlyremediated.
  • You report results in an effective and timely basis including thecompletion of the closure validation template
  • You maintain compliance with audit methodology, while also operatingwithin industry standard methodologies, applicable regulations, and internaland external professional practice expectations
  • You effectively manage partner relationships to a mutually accountable,productive, respectful, and trusted level
  • You remediate issues raisedby regulatory authorities including the OCC and FRB
  • You act as a leader and role model and continuously improve self anddepartment.Are you ready todemonstrate your financial crimes knowledge?Qualifications:Qualifications:
    • Bachelor?s Degree Required ? Accounting or Finance Preferred
    • Ten or more years of internal or external audit or risk managementexperience, including management responsibility
    • Experience within Financial Crimes (BSA/AML/OFAC) compliance audit
    • CAMS certification preferred
    • Experience with the financial industry and relatedmarkets, related regulatory bodies, and current industry events and trends
    • Experience working with the financial industry regulators, includingOCC, 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 (MSOffice, audit data analytics, etc.)
    • Strong analytical and problem solvingskills
    • Strong verbal and written communication skills
    • Aligned with MUFG Union Bank Code of Conduct, exhibits strong ethicalbehavior, and adheres to other similar professional requirementsThe above statements are intended to describe the general nature and levelof the work being performed. They are not intended to be construed as anexhaustive list of all responsibilities, duties, and skills required ofpersonnel so classified.We are proud to bean Equal Opportunity / Affirmative Action Employer and committed to leveragingthe diverse backgrounds, perspectives, and experience of our workforce tocreate opportunities for our colleagues and our business. We do notdiscriminate in employment decisions on the basis of any protected category.A conviction is not an absolute bar toemployment. Factors such as the age of the offense, evidence of rehabilitation,seriousness of violation, and job relatedness are considered in all employmentdecisions. Additionally, it?s the bank?s policy to only inquire into acandidate?s criminal history after an offer has been made. Federal lawprohibits banks from employing individuals who have been convicted of, orreceived a pretrial diversion for, certain offenses.

Keywords: MUFG, New York , Global Financial Crimes Audit Issue Validation- Vice President, Executive , New York, New York

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