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MUFG Union Bank Issues & Findings Management, VP - Hybrid in Dallas, Texas

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.

Summary:

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 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 role is a key member of a first line risk and controls team aligned to a specific technology business. This individual works with other team members to partner with operations and technology teams to drive effective risk and control management. The teams are responsible for assessing the operations and technology risk and control environment, identifying improvement opportunities, reporting and monitoring key risk metrics and providing governance with respect to all risk and control matters.

Specific responsibilities will include working collaboratively with the business units and their risk teams to execute the following:

  • Work with Business Unit Risk Managers' (BURMs') teams to challenge any potential issues and participate in issue development once they are recognized and agreed as issues

  • Partner with BURMs' teams to get new issues ready for the tollgate process

  • Review, challenge, and participate in issues’ management action plans (MAPs) development to ensure MAPs can address the control deficiencies and symptoms pointed out in the issue including building out a sustainable and repeatable process

  • Validate issues including management self-identified (MSIs), SLoD, Internal Audit / Third Line of Defense (TLoD), and regulatory issues

  • Work with BURMs’ teams to ensure new and closure issue packages are completed properly prior to being presented at tollgates (review & challenge) meetings

  • Support management to generate various metrics reports for senior management and board level committees

  • Maintain standard issue management (IM) templates and review as directed

  • Provide periodic IM related training

  • Provide quality assurance (QA) and reports on OpenPages issues

  • Engage with key stakeholders, management, BURMs, SLoD, and TLoD to ensure risks are understood across all Lines of Defense (LoDs) and risk treatment is properly identified

  • Review issue intake submissions for tollgates (review & challenge), prepare issue package (new, closures, risk acceptances), and ensure requirements are met, and that follow-ups are acted on, completed, and resolved

Qualifications :

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

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

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

  • Other preferred certificates: risk management, information security, and/or technology certifications desired, but not required. (Certified in Governance of Enterprise Information Technology (CGEIT), Cybersecurity Fundamentals (CSX), Certified Information Systems Security Professional (CISSP), Information Technology Infrastructure Library (ITIL), Control Objectives for Information and Related Technology (COBIT), etc.)

  • 6-8 years of technology, risk, and control experience

  • 6-8 years of experience in 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

  • Deep understanding of financial institution processes, products, and risk

  • Prior supervisory and/or management role with a focus on talent development

  • Strong understanding of governance and oversight best practices, ideally with experience implementing and/or managing governance processes

  • Knowledge of critical domestic and international banking regulations

  • Experience with enforcement agencies oversight activities (regulatory examinations, matters requiring attention (MRAs), consent orders, etc.) within global systemically important financial institutions' information technology and information security environments

  • Understanding of information security risk assessment/testing methodologies evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinations

  • Advance level of proficiency using Microsoft Excel to organize and analyze data, produce management reporting and dashboards, and prototype strategic solutions is critical

  • Experience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, structured query language (SQL), Access etc.)

  • Experience developing and communicating key messages to senior managers and regulators

  • Strong planning and organizing skills and the ability to multitask across a varied workload

  • Preferred: experience in a financial institution, "Big 4" audit, or other highly regulated environment

  • Knowledge of information technology risk and process frameworks, including Committee of Sponsoring Organizations of the Treadway Commission (COSO), COBIT, National Institute of Standards and Technology (NIST), Cybersecurity Horizontal Reviews, and ITIL

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

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

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

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

  • Knowledge of critical domestic and international banking regulations (Reg W, Basel II, Federal Financial Institutions Examination Council (FFIEC), General Data Protection Regulation (GDPR), etc.) and experience with enforcement agencies oversight activities (regulatory examinations, matters requiring attention (MRAs), consent orders, etc.) within global systemically important financial institutions' information technology and information security environments

  • Experience with executing technology and/or information security risk assessment/testing methodologies evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinations

  • Experience with automating and/or the ability to conceptualize automated control solutions is highly desired

  • Experience with risk metrics definition and reporting/scorecard development, utilizing key risk metrics tools (IBM Open Pages, Tableau, structured query language (SQL), Access etc.)

  • Strong planning and organizing skills; ability to multitask and deal with varied workload

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

  • Prior supervisory and or management role with a focus on talent development

  • Prior experience working at a regulatory agency is a plus

  • Experience with managing resources effectively to execute required functions

  • 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

  • Ambitious and hardworking

  • Ability to work effectively in team environment and influence across all interpersonal levels, where flexibility, collaboration, adaptability, challenge, and influence are important

  • Ability to demonstrate an analytical approach to problem solving

  • Ability to identify, analyze, and apply/recommend practical solutions, highly desired

#LI-Hybrid

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.

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

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