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MUFG Design and Assessment Lead, Director in Albany, New York

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 6th largest financial group in the world. Across the globe, we’re 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

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.

This is a hybrid position. The selected colleague will work at an MUFG office an average of two to three days per week with the remainder worked remotely.

In this role you will focus on internal and external compliance requirements, activities, and deliverables to ensure that Operations & Technology meets regulatory and audit milestones. Responsibilities include engaging with regulators and/or leaders from other functions, including audit and compliance, and collaborating with Operations & Technology colleagues to prepare or review content prior to submission and manage follow-up actions; establishing processes, templates, and stakeholder matrices for activities; creating roadmaps aligned to recurring and ad hoc milestones; ensuring stakeholders execute appropriately and meet milestones on time; tracking, escalating, and/or remediating risks and issues; and developing and executing executive-level reporting.

This role is a key member of a first line risk and controls team dedicated to the Operations & Technology transformation program. You will work with other team members to partner with the transformation team to design, implement, and assess key risk and control elements included in the transformation technology projects. The team is responsible for advising and assessing the technology risk and control environment incorporated into tech projects, identifying improvement opportunities, reporting and monitoring key risk metrics, and providing governance with respect to all risk and control matters.

RESPONSIBILITIES

  • Drive implementation and sustainment of information technology and information security control framework

  • Evaluate and benchmark technology process execution against outstanding standards. (COBIT, NIST 800-53, FFIEC etc.)

  • Manage the execution of front line controls self-assurance and risk assessment activities (ad hoc controls review, BPM, RCSA) and support independent risk and audit activities as needed

  • Provide consult on controls design and efficiency to technology partners in support their commitments to align with all applicable laws, regulations, and internal policies and procedures

  • You will drive risk culture; influence self-identification and disclosure of control self-assurance gaps.

  • Ensure gaps are addressed via remediation plans that adhere to issues management mandates; timely issue and corrective action submission, accurate root cause identification, corrective action monitoring, on time closure, no failed validations, and no repeat issue

  • Monitor and evaluate emerging risk, internal operational trends, and external risk events for potential impact to control environment

  • Prepare risk analysis and risk mitigation recommendations

  • Support technology risk governance by ensuring our control environment performance is reported and has risk management plans in place for critical issues

  • Support the preparation of risk and controls governance materials as needed.

  • Design and lead implementation of key controls, industry standards, policies, and/or procedures within the transformation technology environment

  • Lead assessment of risk and control alignment with specific technology control frameworks and the internal risk, threat, and control library

  • Partner with transformation to continuously improve the overall risk posture of delivered features, functions, and capabilities

  • Participate in the development, design, and implementation of control testing and risk monitoring programs

  • Collaborate with business partners to facilitate remediation of identified risk and control issues

  • Engage with multiple stakeholders and collaborate with key business partners, risk management, and internal audit

QUALIFICATIONS

  • Undergraduate degree plus 10 years in technology, information security, operational risk management, or related roles

  • Preferred: professional certifications such as Certified Information System Auditor (CISA), Certified in Risk and Information Systems Control (CRISC), Certified Information Systems Manager (CISM), Certified in the Governance of Enterprise Information Technology (CGEIT), CSX, Certified Information Systems Security Professional (CISSP), Information Technology Infrastructure Library (ITIL), Control Objectives for Information and Related Technology (COBIT), etc.

  • Cloud Service Provider (CSP) certifications desired (i.e. Amazon Web Services (AWS) Cloud Practitioner, AWS Specialty – Security), relevant professional certifications a plus

  • 10+ years of experience in IT or operations risk & control or audit function

  • 10+ years of experience in information technology, information security, and/or operational risk management, (Includes operations, operational risk management, compliance, audit, and third-party risk management within technology and/or information security), or a combination thereof, or other highly regulated environment.

  • Deep working experience with regulations applicable to the banking and finance industry required

  • Deep understanding of financial institution processes, products, and risk

  • Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management, and incident response

  • Preferred: "Big Four" IT audit experience

  • Preferred: experience in a project management role

  • Experience with executing technology and/or information security risk assessment/testing methodologies, evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinations

  • Experience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, structured query language (SQL), Access, etc.)

  • Prior supervisory and or management role with a focus on talent development.

  • Experience in creation and review of work papers to document testing and/or issue closure and experience in the management of regulatory matters

  • Experience with automating and/or the ability to conceptualize automated control solutions

  • Strong and diverse modern technology background and experience across diverse domains, illustrating the ability to drive transformation outcomes with specific focus on how to ‘enable’ them in a highly regulated enterprise industry context including:

  • Expertise with Cloud Service Providers (CSP) such as AWS and the cloud-based products, services and capabilities

  • Conceptual / working understanding of scripting languages such as Bash, Ruby, Perl and Python

  • Conceptual / working understanding with continuous integration and continuous deployment (CI/CD) concepts, tools, and technologies including code repositories (e.g. Git), Jenkins and Maven

  • Conceptual / working understanding of infrastructure orchestration, service registry/discovery, and configuration management tools, (e.g., CloudFormation, Terraform, Ansible/Puppet)

  • Conceptual / working understanding of software containerization platforms/container orchestration tools such as Docker, Kubernetes, AWS Elastic Kubernetes Service (EKS) and Red Hat OpenShift

  • Conceptual / working understanding of modern master data management, big data platforms, data streaming, analytics and reporting solutions (e.g., AWS Elastic Map Reduce (EMR))

  • Experience with information security risks, regulations or regulatory bodies, and security program frameworks, including COSO, COBIT, FFIEC, NIST, AWS well-architected, and ITIL

  • Deep understanding of information security best practices and implementation of security principles across global organizations, to meet business goals and legal/regulatory requirements

  • Knowledge of current and emerging cloud security trends, “as a Service” security and architecture concepts, including network segmentation, perimeter security, event monitoring; and remediation methods to bring cloud infrastructures into compliance for security compliance

  • Understanding of risk management, including experience executing risk assessments, testing and evaluating processes and controls

  • Strong project management skills; includes an ability to independently drive work, and pragmatically solve problems

  • Experience in working in an agile, scrum, or DevSecOps methodology including the Atlassian stack (Jira/Confluence) is preferred

  • Excellent communication, presentation, and influencing skills, and ability to manage stakeholders across multiple disciplines

  • Excellent analytical, organizational, and conceptual skills

  • Ability to work effectively in team environment, and influence across all interpersonal levels, where flexibility, collaboration, adaptability, challenge, and influence are important

  • Strong planning and organizing skills; ability to multitask and deal with varied workload

  • Ability to demonstrate an analytical approach to problem solving. Identify, analyze and apply/recommend practical solutions

  • Ability to manage multiple priorities concurrently, prioritize, and efficiently complete responsibilities while maintaining the highest quality

  • Ability to support work streams with sometimes limited oversight/information from inception to completion

  • Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions, with and without technology

  • Ability to identify obstacles and work in conjunction with others to identify options/solutions

  • Ability to constructively work both independently and in collaborative environments involving all levels of management and employees

  • Strong work ethic, ability to make decisions, and work under tight deadlines; achievement-oriented and takes initiative

The typical base pay range for this role is between $160K – $205K 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. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.

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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.

#LI-Hybrid

At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!

Our Culture Principles

  • Client Centric

  • People Focused

  • Listen Up. Speak Up.

  • Innovate & Simplify

  • Own & Execute

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