Accounting SOX Program Management, Assistant Vice President


Accounting SOX Program Management, Assistant Vice President

Discover your opportunity with 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.

Control Assurance and Advisory (CAA)

CAA is a high-energy and diverse internal control group with primary responsibilities for the Company's US internal control programs over SOX 404 and FDICIA 363. The team is comprised of three main functions that include program management, non-IT testing and IT testing. CAA reports to the Chief Accounting Office/Corporate Controller under the Chief Financial Officer.

Job Summary:

Program Management AVPs play a meaningful role in providing technical and practice management assistance to the larger CAA team. AVPs in the program management team assist in ensuring the CAA Team has appropriate technical methodology, mentorship and training, issue management and quality assurance, materiality and scoping, governance and committee reporting as well as providing budget, vendor management and other business management support to the team. The Program Management AVP will report directly to the Director of the Program Management team. The role is built so that the candidate will gain a broad exposure to the operations of the company, interacting with leaders in finance, accounting, technology, operations and with our external and internal auditors to support the establishment of a consistent, repeatable, and sustained SOX approach.

Core technical responsibilities may include assisting with:

  • Research on SOX and regulatory reporting control program requirements and industry best practices
  • Maintaining and updating CAA guidance, policies and procedures
  • Developing, maintaining and delivering training
  • Maintaining quantitative and qualitative materiality
  • Performing inherent risk assessments with key partners to determine reporting elements in-scope for the control testing programs
  • Scanning Company issues for potential impact on reporting
  • Working with control testing teams to appropriately document and assess issues
  • Conducting quality assurance activities to monitor CAA team's compliance with its policy and procedures
  • Participating on special projects and advisory work on internal controls
  • Preparing reports for governance committees

Core practice management responsibilities may include assisting with:
  • Maintaining budget and forecasts
  • Supporting CAA offshoring and vendor contracts
  • Supporting CAA administrative technology requirements
  • Working with testing teams to establish landmarks and target dates
  • Monitoring and reporting on team status
  • Conducting partner surveys
  • Identifying and supporting operational improvement initiatives


  • Bachelor's degree in Accounting or Finance
  • You have 3-7 years of progressive experience in a combination of public accounting and/or internal audit with a strong background in financial services, preferably banking
  • You have direct work experience in SOX compliance and internal controls
  • You have an understanding of accounting, finance, and auditing concepts and standards.
  • You have project management and supervisory experience
  • You possess excellent written and verbal communication skills
  • You are able to influence people at different levels and negotiate cross functionally
  • Proficient in Excel, Visio, Word, PowerPoint, Adobe Acrobat Pro, and SharePoint

The 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

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