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MUFG Union Bank Business Operational Risk Assessments Manager, Vice President in Charlotte, North Carolina


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.

Job Summary:

Reporting to Operational Risk Business Risk Assessment team lead (Wholesale, Legal Entities, IT, Risk) responsible for executing the second line of defense Operational Risk Management (“ORM”) business oversight and challenge activities across the Business Lines as assigned. This role will have a focus on Technology Risk.

Major Responsibilities:

  • Lead and facilitate the Technology oversight meetings to review and discuss key operational risk topics (inclusive of emerging risks, critical initiatives, issues, etc.,) and related items to accurately understand the Technology risk profile and trend and provide oversight and meaningful challenges

  • Perform Technology risk assessment (i.e. oversight and challenge activities) to ensure that Technology has implemented and executed ORM programs (RCSA, Loss data, Scenario, KRM, Issue Management etc.,) in accordance with the firm’s policy, and various program requirements

  • Communicate issues/observations identified from the assessment with Technology and provide recommendations/request Technology’s review and actions to remediate as necessary

  • Ensure the results of all work performed is documented in accordance with the program requirements (Procedures, Execution Guidelines and related) prior to due date, well supported with underlying details and is ready for independent review upon request

  • Be a central point of contact when perform analysis and identify root causes related to ORM programs, process and controls. Work with the Business Line and the second line of defense (when applicable) to address those issues, measuring and tracking progress in remediation

  • Work with the second line of defense (e.g. ORM programs, Compliance, Fraud, Sales Practice, Information Risk Management, Business Continuity, and Third Party) in coordinating and executing on the above requirements

  • Prepare quarterly/periodic reporting of the Technology ORM program execution that provides a clear and concise view of the Technology ORM program execution status and any issues/key items that may require management’s attention

  • Support the team lead/Program on Audit and or Regulatory exam preparation and review to address inquiries and submit the requested documentation/information adequately and timely

  • Stay abreast of industry developments in operational risk management/Banking industry in general to ensure the second line risk assessment and challenge program accounts for new practices

  • Support initiatives on development/enhancement of the program and or ORM related



  • Bachelor’s degree in Technology, Business, Finance, Economics, Accounting, or related field. MBA preferred.

  • 10 -15 years’ experience in operational risk management, internal audit, management consulting or related field, including 7 years work related to risk management.

  • Experience in control testing techniques and documentation

  • Strong knowledge of technology risk management, regulatory requirements and industry practices

  • Relevant certification preferred: CISSP, CISA, CRISC, CGEIT, etc.

  • Strong Technology Risk or IT Audit experience

  • Broad view of the financial services industry

  • Strong knowledge in ORM Programs including (but not limited to): RCSA, Loss data, Scenario Analysis, KRM/KRI and Issue Management

  • Understanding of banking regulatory agency expectation/requirements on operational risk management

  • Strong ability to analyze data and trends and prepare meaningful reports

  • Demonstrated ability to manage workloads and prioritize deliverables

  • Strong written and verbal communication skills, Comfortable presenting the results of the assessment to Technology management and provide independent challenges when different view exists

  • Good interpersonal skills to build and manage relationships with Technology as well as various second line of defense groups

  • Strong work commitment and works well in a fast-paced and dynamic environment

Join us as we evolve our organization to become

more agile, innovative and inclusive!

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: Risk

Primary Location: NORTH CAROLINA-Charlotte

Schedule Full Time

Shift Day

Req ID: 10041016-WD