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MUFG Union Bank Risk & Control Oversight & Advisory, AVP in Charlotte, North Carolina

Risk & Control Oversight & Advisory, AVP - 10043872-WD


Your potential. Your opportunity.

Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group.


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 is a first line role, responsible for assessing newly identified risks, threats, and findings across our technology business. You will work collaboratively with teams across MUFG to review new risks/threats, identify potential control gaps, and ensure those gaps are addressed, and will be responsible for management and oversight of technology findings and exceptions.

Major Responsibilities:

  • Coordinate end-to-end management and oversight of technology related regulatory and management identified issues remediation processes

  • Assist with end-to-end process for technology issues management, including roles and responsibilities across remediation and validation, business unit risk, and governance teams

  • Develop process for assessment of emerging risks and threats, evaluation of current control effectiveness, and processes to address any gaps

  • Establish routines and procedures to ensure effective OTA-wide awareness, ownership, and execution of open issues and control gaps

  • Maintain strong engagement across multiple stakeholders and collaborate with key senior business partners

  • Recruit, develop, and retain key talent, ensuring that the resources dedicated to risk management are effective in carrying out the required functions



  • Bachelor’s degree required in technology, engineering, risk management, computer science, information systems, or equivalent field. Graduate degree preferred

  • 5 years of technology, risk, and control experience

  • Experience in a financial institution, "Big 4" audit, or other highly regulated environment, preferred

  • 1 years of experience working at a major financial institution on audit and/or risk management initiatives/programs, including management responsibilities

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

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

  • Excel at developing and communicating key messages to senior managers and regulators

  • Understanding of regulatory requirements and trends

  • Outstanding communication skills; able to foster close and collaborative productive working relationships across the organization

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

  • Strong interpersonal skills; proven strength in relationship development and leading through influence across multiple stakeholders

  • Ability to deliver results within a complex environment; develop and drive best practices Understanding of designing and implementing risk related management, governance, and frameworks Knowledge of information technology risk and process frameworks, including Committee of Sponsoring Organizations of the Treadway Commission (COSO), Control Objectives for Information and Related Technology (COBIT), National Institute of Standards and Technology (NIST), Cybersecurity Horizontal Reviews, and Information Technology Infrastructure Library (ITIL)

  • Knowledge of consumer banking, consumer lending, capital markets, commercial loans, trade services and payment operations etc.

  • Familiarity with U.S. banking regulatory requirements, compliance, and governance

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

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 : Technology

Primary Location : NORTH CAROLINA-Charlotte

Job Posting : May 21, 2021, 9:37:38 AM

Shift: : Day

Schedule: : Full Time

Req ID: 10043872-WD