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MUFG Union Bank Associate Senior Auditor – Issues Management in Brea, California

Associate Senior Auditor – Issues Management - 10044652-WD


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 2020).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 - Issues Management position is a staff role within the Internal Audit for the Americas function. It reports to a Director, Senior Audit Portfolio Manager. The position is primarily responsible for issues management and validation within assigned timeframes and budgets. We are searching for experienced Audit professionals with banking/financial services experience to join the Issues Management Team.


This position does not manage staff. Travel is not required for the position.


Execute an efficient and effective program of issues management and validation including:

  • Effectively monitor and manage a pipeline of open issues, ensuring their timely validation and closure.

  • Assess readiness of open audit issues for closure. This includes: confirming successful completion of management action plans, testing new and modified controls for effectiveness and sustainability, and clearly and succinctly documenting testwork and conclusions.

  • Effectively communicate, verbally and in writing, the nature and status of work to stakeholders and escalate risks to remediation and validation timelines.

  • Timely and effectively communicate to stakeholders, verbally and in writing, when issues fail validation because risk has not been reduced to an acceptable level.

  • Recommend remedial actions when issues fail validation because risk has not been reduced to an acceptable level.

  • Review and provide feedback to audit teams on new issues while in development, and perform quality reviews to ensure issues are recorded accurately and completely before being opened in the system of record.

  • Complete work timely 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



  • Three or more years of internal or external audit or risk management experience

  • Experience with the financial industry and related markets (e.g. Consumer Banking, Consumer Lending, Wealth Management, Capital Markets, Commercial Loans, Trade Services, Payment Operations, Fund Services, Transaction Banking, etc.) and related regulatory bodies

  • Demonstrated proficiency in technology as required for assigned areas (GRC platforms, MS Office, audit data analytics, etc.)

  • Strong organizational skills; ability to juggle multiple issues

  • Strong analytical and problem-solving skills

  • Strong verbal and written communication skills

  • 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.

Job : Audit

Primary Location : NORTH CAROLINA-Charlotte

Other Locations : CALIFORNIA-Brea

Job Posting : Jul 21, 2021, 1:25:35 PM

Shift: : Day

Schedule: : Full Time

Req ID: 10044652-WD