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MUFG Union Bank OTA Risk and Control Testing Analyst - Hybrid/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. 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 assist in implementing and managing frameworks designed to identify, evaluate, and manage related risks and controls across the company or a particular business or function. Responsibilities include integrating that framework with business operations and keeping key stakeholders across the organization informed about new or existing operational and/or technology assets and third-party vendor engagements; leading or supporting various programs, including Risk and Control Self-Assessment (RCSA), process, risk, and control, and other risk policies, standards, and processes. The primary focus of this role will be assessing the operating effectiveness of key controls documented within the RCSA through the execution of control testing performed in alignment with internal policies and standards.

As part of an effective risk and control framework, Operations and Technology for the Americas (OTA) documents and executes risk and control assessments across processes related to Operations and Technology. There is a comprehensive coverage and joint accountability model that promotes early identification and assessment of operational and technology risk, effective design and evaluation of controls, and sustainable solutions to mitigate operational and technology risk.

• Execute timely control testing for multiple in-scope processes across various business entities; conclude on the operating effectiveness of controls to mitigate risks and control objectives within aligned processes

• Partner with stakeholders, including process owners and control officers, to document controls, enhance control language, and develop/maintain test scripts that validate controls are being performed in compliance with bank policies, procedures, and regulatory requirements to mitigate technology risk to the firm

• Execute testing of controls based on internal and industry standards and guidelines for design and effectiveness

• Participate and lead control testing walkthroughs and prepare meaningful documentation to support testing conclusions

• Coordinate control testing activities, including logistical scheduling and document retrieval to support control testing in accordance with internal requirements

• Provide project management support in tracking and coordinating the execution of policy and standards control testing activities

• Liaise with risk assessment team and other stakeholders to ensure control testing is in alignment with broader risk assessment activities

• Create synergies by identifying opportunities to repurpose control testing results to satisfy assessment requirements across the bank

• Develop and distribute status reporting and communication related to control testing activities

• Provide ongoing communication to internal stakeholders throughout the testing process to keep them apprised of progress and findings, escalating when appropriate

• Prepare written reports that summarize the objectives, scope, findings, and conclusions for each assigned review

• Support iterative review and challenge of assessment results, working with appropriate stakeholders across the lines of defense

• Support adoption of automated testing platform by identifying controls for inclusion and respective prerequisites and logic for automated testing

• Work collaboratively with risk and control team to execute against technology risk governance procedures

• Coordinate required meetings, reviews, and scheduling needs

• Prepare materials for ongoing team meetings and meetings with senior management

Required Skills:

• Experience with process documentation, risk assessment, evaluation of control operating effectiveness and designing/executing test scripts for operations and/or technology controls

• Understanding of the regulatory environment and regulations related to technology risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations

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

• Knowledge in technology and/or operations areas including, but not limited to: payments, wire transfer, commercial loans, trade services, access management, network security, enterprise architecture, release management and incident response

• Combined experience in audit, risk management and/or compliance. Understanding of assessment for compliance with Sarbanes-Oxley (SOX) a plus

• 1-4 years of experience in risk and control management; Minimum of 1 year of control testing experience

• 1- 4 years of experience in an audit, accounting, risk management role in operations or 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

• Bachelor's degree in accounting, finance, computer science, information systems, or equivalent preferred

• Preferred: degree from a competitive school, demonstrating a strong academic and extracurricular track record

• Preferred Certifications: Certified Public Accountant (CPA), Certified Internal Auditor (CIA)

• Additional Certification Considerations: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM) or Certified in Risk and Information Systems Control (CRISC)

• 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

• 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

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.


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