Mufgamericas
Internal Audit Financial Crimes & Compliance Issues Management, Associate Vice P
Mufgamericas, Tempe, Arizona, us, 85285
Internal Audit Financial Crimes & Compliance Issues Management, Associate Vice President
Do you want your voice heard and your actions to count?Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve.With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.Job Summary:The Auditor II role within the Internal Audit Financial Crimes & Compliance Issues Management function is responsible for monitoring of MUFG Americas Financial Crimes and Compliance-related audit issues and executing independent validation of the effectiveness of management’s corrective efforts to address the issues. The role includes, but it is not limited to reviewing and evaluating action plans proposed by business management to address issues, monitoring management’s progress in implementing action plans, validating corrective action implementation and escalating concerns to Audit Management. The role may also include assisting in the testing execution for internal audits led by the Financial Crimes and Compliance audit teams.Major Responsibilities:Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.Act as a leader and role model and continuously improve self and department.Build relationships with peers and clients within organization and exhibit a high standard of performance and professional conduct that will create a culture of integrity and inclusion.Operate with an innovative and flexible mindset by continuously identifying ways to enhance consistency, efficiency, quality and/or value.Demonstrate professional skepticism and personal accountability.Lead walkthrough meetings and interviews with business stakeholders to develop understanding of business processes and issues corrective actions.Lead formal discussions with business stakeholders throughout the duration of audit engagements/issue validation to communicate status or concerns.Identify potential risks and controls and assist in developing scope and work programs.Evaluate design and operational effectiveness of internal controls and identify control weaknesses.Generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices.Prepare workpapers and audit reports with documented results that adhere to methodology, applicable standards and regulatory requirements.Document workpapers demonstrating the work was appropriately performed.Identify control weaknesses and escalate and discuss findings with Audit Management and business stakeholders as appropriate.Complete work on a timely basis and deliver work products that meet objectives and standards.Assist in development and production of internal reporting.Qualifications:A Bachelor’s degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.Minimum of 5-6 years and/or equivalent of experience of internal audit and/or equivalent of experience with the financial services industry.Experience preferred in Financial Crimes and Compliance processes and regulatory requirements.Exhibits effective communication (both verbal and written), negotiation and presentation skills.Strong analytical and problem-solving skills.Employs critical thinking skills to identify pragmatic recommendations.Proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.).Ability to travel may be required.The typical base pay range for this role is between $103K - $124K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation.MUFG Benefits SummaryWe will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws.We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business.
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Do you want your voice heard and your actions to count?Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve.With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.Job Summary:The Auditor II role within the Internal Audit Financial Crimes & Compliance Issues Management function is responsible for monitoring of MUFG Americas Financial Crimes and Compliance-related audit issues and executing independent validation of the effectiveness of management’s corrective efforts to address the issues. The role includes, but it is not limited to reviewing and evaluating action plans proposed by business management to address issues, monitoring management’s progress in implementing action plans, validating corrective action implementation and escalating concerns to Audit Management. The role may also include assisting in the testing execution for internal audits led by the Financial Crimes and Compliance audit teams.Major Responsibilities:Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.Act as a leader and role model and continuously improve self and department.Build relationships with peers and clients within organization and exhibit a high standard of performance and professional conduct that will create a culture of integrity and inclusion.Operate with an innovative and flexible mindset by continuously identifying ways to enhance consistency, efficiency, quality and/or value.Demonstrate professional skepticism and personal accountability.Lead walkthrough meetings and interviews with business stakeholders to develop understanding of business processes and issues corrective actions.Lead formal discussions with business stakeholders throughout the duration of audit engagements/issue validation to communicate status or concerns.Identify potential risks and controls and assist in developing scope and work programs.Evaluate design and operational effectiveness of internal controls and identify control weaknesses.Generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices.Prepare workpapers and audit reports with documented results that adhere to methodology, applicable standards and regulatory requirements.Document workpapers demonstrating the work was appropriately performed.Identify control weaknesses and escalate and discuss findings with Audit Management and business stakeholders as appropriate.Complete work on a timely basis and deliver work products that meet objectives and standards.Assist in development and production of internal reporting.Qualifications:A Bachelor’s degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.Minimum of 5-6 years and/or equivalent of experience of internal audit and/or equivalent of experience with the financial services industry.Experience preferred in Financial Crimes and Compliance processes and regulatory requirements.Exhibits effective communication (both verbal and written), negotiation and presentation skills.Strong analytical and problem-solving skills.Employs critical thinking skills to identify pragmatic recommendations.Proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.).Ability to travel may be required.The typical base pay range for this role is between $103K - $124K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation.MUFG Benefits SummaryWe will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws.We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business.
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