Global Financial Crimes Audit Quality - Vice President


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.

Position Summary
The VP, Quality Control - Global Financial Crimes Audit is a role reporting to the Director- Head of Program Management Office and Quality Control. This position is responsible for directly supporting Global Financial Crimes audit engagement to ensure the teams work in accordance with global methodology, professional and regulatory expectations from a Global Financial Crimes standpoint. This position will have direct responsibility in leading complex projects that focus on highly judgmental areas of the audit engagement requiring subject-matter insight to enhance the reliability of our clients' information and strengthen operations.

Position Attributes:
Travel may be required for the position, with an estimated range of 10-20% varying on the location of the incumbent, key staff and partners (throughout Americas, regions, as required).

Key Accountabilities:

  • Effectively manage senior executive relationships (internally and externally) to mutually accountable, productive, respectful, and trusted level.
  • Develop and lead the execution of the Practices Quality Control plan, performing real time reviews of methodology and practices processes including annual planning, risk assessments, audit execution, operations, and issues validations
  • Develop QC testing programs designed to assess the effectiveness of the activity's adherence to the defined set of quality criteria including ensuring accurate use of global templates, distribution lists, and key partner review in accordance with methodology
  • Ensure all activities are well documented and supported with evidence so a third party can understand what was done and the rationale for conclusions.
  • Generate insightful, meaningful observations and offer solutions that effectively convey significance and impact on risk and/or risk management practices.
  • Lead clear, crisp, formal discussions with business partners throughout the duration of projects or initiatives to communicate status or concerns.
  • Operate with an innovative and flexible mindset by continuously identifying ways to improve department practices to enhance consistency, efficiency, quality and/or value.
  • Demonstrate leadership and management over the strategy and execution of deliverables, and demonstrable professional skepticism and personal accountability.
  • Anticipate emerging issues that impact Global Audit's risk (practice) profile, Audit Methodology and Audit Practices.
  • Maintain knowledge of and industry leading practices around audit quality control and improvement.


Education and Certifications:
  • A Bachelor's degree, Business Administration or related business discipline at an accredited college or university.
  • 10 years or more of relevant internal audit or risk management experience with strong knowledge of internal audit operations audit execution, practices and methodology
  • Experience with the financial services industry, related markets, and related regulatory agencies
  • Possesses strong project management skills; exhibits initiative and intuitive thinking; and demonstrates ability to meet strict deadlines.
  • Exhibits effective communication (both verbal and written), negotiation and presentation skills; strong interpersonal skills; and ability to engage with all levels of internal audit and business line management.
  • Employs strong critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment.
  • Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.).
  • Proven track record in operations and center of excellence and coordination efforts across multiple groups, preferably within global internal functions.

Compliance with MUFG and 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 the 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 based on 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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