Compliance Issue Validation, Associate
- New York, NY
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.
The Associate, Senior Auditor position is a staff role within the Internal Audit for the Americas function. It reports to either a VP, Audit Manager or a Director, Senior Audit Manager. The position is primarily responsible for completing quality work within assigned timeframes and budgets. This is generally the execution of assigned audits, including planning, fieldwork, reporting, and issue tracking and follow-up.
This position generally does not manage staff. Travel is required for the position, with an estimated range of 10-40% varying on the location of the incumbent and key staff and stakeholder and audit geographies.
Execute an efficient and effective program of audit work including aspects such as:
- Lead interviews of process owners to develop understanding of business processes, client's business
- Identify potential risks and controls, and assist in developing scope and work programs
- Evaluate internal controls design and effectiveness
- Identify control weaknesses and suggest appropriate remediation
- Document results using appropriate business and technical language in workpaper system
- Report findings and client issues to Portfolio Manager or Senior Portfolio Manager
- Assist with workpaper review and report preparation
- Complete work on a timely basis and with high quality Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations
- Build relationships with peers and clients within organization Act as a leader and role model and continuously improve self and department
SKILLS AND EXPERIENCE
- Five or more years of internal or external audit or risk management experience
- Experience with the financial industry and related markets, and related regulatory bodies
- Knowledge of risk assessment, audit methodology, and execution
- Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)
- Strong analytical and problem-solving skills
- Strong verbal and written communication skills
- Other skills as required in assigned areas of responsibility
- Compliant with MUFG Union Bank Code of Conduct, exhibits strong ethical behavior, and adheres to other similar professional requirements
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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