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MUFG Union Bank Internal Audit Analyst – Capital Markets Compliance - Hybrid (NY, NC) 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. Across the globe, we’re 180,000 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. There are flexible work from home options available. A member of our recruitment team will discuss the options with you in more detail.

Job Summary:

The Auditor I role within the Internal Audit function is responsible for supporting independent, objective assurance and consulting activities designed to evaluate and assess the effectiveness of the Bank’s governance, risk management and control processes. This role includes, but is not limited to, supporting execution on all activities related to the end-to-end audit process (e.g., planning, fieldwork testing, reporting, issues validation, etc.) and supporting general audit administration activities across the organization, as assigned.

Management or Supervision:


Major Responsibilities:

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 and exhibit a high standard of performance and professional conduct that will create a culture of integrity and inclusion; where all individual and departmental choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct.

Operate with an innovative and flexible mindset by continuously identifying ways to enhance consistency, efficiency, quality and/or value.

Demonstrate professional skepticism and personal accountability.

Participate in the walkthrough meetings and interviews with business stakeholders to develop understanding of business processes.

Participate in formal discussions with business stakeholders throughout the duration of audit engagements to communicate status or concerns.

Identify potential risks and controls and assist in developing scope and work programs.

Evaluate design and operating effectiveness of internal controls and identify control weaknesses.

Generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices, reporting findings and audit issues to Audit Management.

Assist with workpaper and report preparation and document results using appropriate business and technical language.

Document workpapers demonstrating the work was appropriately performed (e.g., detailed lead sheets describing the control attributes that were tested and the results were documented in a manner to support the conclusions reached, effectiveness and sustainable controls are evident in documentation).

Documentation should stand alone to enable re-performance.

Complete work on a timely basis and deliver work products that meet objectives and standards of methodology, applicable standards and regulatory requirements.

Education, Licensure, Year of Experience (and type of work experience):

A Bachelor’s degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university

Skills and Experience:

0-4 years and/or equivalent of experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies.

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.

Strong analytical and problem-solving skills.

Employs critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment.

Proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.).

Ability to travel may be required.

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.

Some MUFG roles require that individuals be fully vaccinated against COVID-19, subject to exemptions for medical or religious reasons, as well as any other reason required by applicable law or order. Should you be selected for an interview, your recruiter will provide additional information.