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MUFG Union Bank Risk & Controls Testing & Assessment, Associate / AVP - Remote 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 remote position. A member of our recruitment team will discuss location preferences with you in more detail.

In this role you will support the Risk and Control Self Assessment (RCSA) Lead to implement RCSAs designed to identify, evaluate, and manage operations-related risks and controls across the company or a particular business or function. Responsibilities include updates of RCSA deliverables that include process mapping, risk and control identification, residual risk assessment in partnership with business operations and keeping key stakeholders across the organization informed about the progress; leading or supporting various programs, in addition to RCSA such as other standards, or processes.

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


  • Support the execution and documentation of risk tasks for in-scope processes across Operations and First Line of Defense (FLoD) business units

  • 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 operational risk to the firm

  • Design controls based on internal and industry standards and guidelines for design and effectiveness

  • Participate in walkthroughs for controls and prepare meaningful documentation

  • 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

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

  • Coordinate required meetings, reviews, and scheduling needs

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


  • Bachelor's degree in Business, Economics, or equivalent preferred

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

  • 5-6 years of experience in Operational risk and controls

  • 2-5 years of experience in Operational risk and controls performing audit and control checks or implementation of control measures

  • Preferred: "Big Four" IT audit experience, Professional in Project Management (PMP), Six Sigma Black Belt or Green Belt professional certifications

  • Preferred: experience with process documentation, risk, and control assessments

  • Preferred: proficient with Microsoft Office (Project, PowerPoint, Excel, Word)

  • Experience with process documentation, risk and control assessments, and designing/executing operational Controls test scripts

  • 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

  • Experience in working with multiple risk and control processes such as commercial loan trade services, check processing, trade operations, escheatment, CCPA/Privacy Call Servicing, Unclaimed property

  • Preferred: knowledge in operational areas including, but not limited to: risk awareness leading to opening of issues as a result of risk events, policy and procedures rollouts, payment risk assessments

  • Knowledge of process ownership framework

  • Combined experience in external audit, internal audit and/or assessment for operational

  • Experience in designing, implementing, and operationalizing control testing and monitoring of operations controls

  • Preferred: experience in a project management role

  • 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

  • Strong written and verbal communication skills to articulate information clearly and effectively

  • Strong analytical skills that can work with data, dashboards, and reporting

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.