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Risk and Control Manager - Risk Assessment and Controls Testing, VP

Company: MUFG
Location: New York
Posted on: October 13, 2019

Job Description:

Do 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, we?re 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. It?s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We?re 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. Risk and Control Manager ? Risk Assessment and Controls Testing, VPJob SummaryAs part of an effective risk and control framework, Operations and Technology for the Americas (OTA) has developed a Risk and Control Manager position for each of its technology risk governance processes. Collectively the Risk and Control Managers maintain a strong and consistent risk management standard across the technology environment. With Risk and Control Managers appointed for each technology risk governance process, OTA has developed a comprehensive coverage and joint accountability model that promotes early identification and assessment of operational and technology risk, effective design and evaluation of controls, and sustainable solutions to mitigate operational and technology risk. The Risk and Control Manager is responsible for implementing and monitoring adherence to all defined risk and technology management processes to manage information risk under the leadership of the Business Unit Risk Control Officer (BURCO) First Line Risk Executive.Responsibilities:

  • Conduct risk assessments and controls testing for in-scope processes across Operations and Technology for the Americas and First Line of Defense (FLoD) business units
  • Determine the inherent risk ratings, control rating, and residual risk rating of information risks.
  • Monitor and test the design effectiveness and operational effectiveness of information risk controls using risk-focused control assessments to determine the individual control ratings of in-scope controls
  • Assess controls for coverage of the control objectives, and control gaps must be identified and documented
  • Communicate control gaps and deficiencies, risk exposures, and changes to the information risk profile to senior management and Second Line of Defense, as appropriate
  • Review process descriptions, perform process prioritization, and determine top-down risk profiles
  • Produce and review assessment reports prior to communication with appropriate stakeholders
  • Identify the scope of risk and/or controls corresponding to assessment requirements (e.g., PCI DSS, GLBA) and relevant system resources for each (e.g., SOX applications for SOX assessments)
  • Monitor and perform ongoing management of risks, policy non-compliance and control gaps and advance issues to the Ops and Tech Risk and Control Office
  • Liaise with other Risk and Control Managers across all technology risk governance processes
  • Partner with control colleagues across OTA and engage with other lines of defense as needed including Compliance, Risk, Legal, and Audit
  • Participate in cross business and function governance to effectively manage risk
  • Actively seek and report on opportunities to strengthen processes via automation
  • Work closely with Risk and Control team to execute against technology risk governance procedures
  • Maintain compliance with applicable second line policies
  • Prepare and present materials for ongoing team meetings and meetings with OTA senior managementQualifications:
    • Bachelor?s degree from a competitive school, demonstrating a strong academic and extracurricular track record
    • 5-9 years of experience in a technology risk management role
    • Understanding of the regulatory environment and regulations related to technology risk, OCC, and FRB expectations
    • Preferred: Big Four IT audit / consulting experience
    • Strong leadership and people management skills
    • Ability to support and manage work streams with sometimes limited oversight / information from inception to completion
    • Ability to manage multiple priorities concurrently, prioritize and efficiently complete responsibilities while maintaining the highest quality
    • Experience with problem solving in a team environment by thinking outside of the box, providing innovative solutions with and without technology
    • Ability to work collaboratively as part of a team
    • Able to identify obstacles and work in conjunction with others to identify options / solutions
    • Ability to constructively work both independently and in reciprocal environments involving all levels of management and employees
    • Strong written and verbal communication skills to articulate findings clearly and effectively
    • Experience with leading resources effectively to execute required functionsThe 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.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.

Keywords: MUFG, New York , Risk and Control Manager - Risk Assessment and Controls Testing, VP, Executive , New York, New York

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