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MUFG Vice President, Exam and Audit Management, Regional Financial Crime in London, United Kingdom

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 6th largest financial group in the world. Across the globe, we’re 160,000 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.

OVERVIEW OF THE DEPARTMENT/SECTION

MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

As one of the largest financial groups globally with a vison to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards. Behaving with integrity and responsibility, underpinned by a desire to build a culture which is fair, transparent, and honest, drives everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

Please visit our website for more information - mufgemea.com.

The Financial Crimes Office for EMEA (FCOE) in London is part of the Global Financial Crimes Division (GFCD) headquartered in New York. It works to ensure that our organisation conducts its business such that we protect our reputation, our business, and our clients within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective systems and controls to protect clients’ assets and to mitigate the risk that MUFG might be used to further financial crime.

MAIN PURPOSE OF THE ROLE

The Financial Crimes Office for EMEA has established an Exam and Audit Management role within the Strategy and Governance team to help assist financial crime stakeholders across the EMEA region in the preparation for, and management of, financial crime regulatory examinations and internal audits.

KEY RESPONSIBILITIES

In this role, you will be accountable for the coordination, support and challenge through the audit lifecycle. Working as a liaison between the regional financial crime compliance team based in London, internal audit and the country level compliance teams the role will focus on ensuring smooth delivery of audits and regulatory reviews. Responsibilities include, but are not limited to the following;

  • Oversee and manage regulatory exam and internal audit preparation, fieldwork, and reporting;

  • Ensure accuracy and clarity of documentation and written responses provided to regulators/auditors;

  • Coordinate participation and ensure preparedness of key exam and audit stakeholders across Financial Crimes and lines of business before, during and after on-site engagements;

  • Provide advice and guidance to both auditees and auditors to ensure factually accurate issues are raised and strong action plans are drafted;

  • Ensure timely escalation of potential and/or confirmed issues.

  • Maintain records and communicate to Financial Crimes leadership statuses of exam and audit engagements;

  • Conduct retrospective reviews following the completion of exams/audits to identify lessons learnt and best practice.

  • Maintain a strong working relationship with 1LOD, 2LOD and 3LOD;

  • Establish and maintain routines and procedures in coordination with Global Financial Crimes Division (GFCD) Exam and Audit Management, plus some regular management reporting;

  • Where required, provide best practice training to 1LOD and 2LOD stakeholders relating to the exam/audit process.

WORK EXPERIENCE

Essential:

  • Minimum of 5-7 years’ experience in banking or other financial institution setting, preferably from Internal Audit or a regulator.

Preferred:

  • Relevant financial crime professional or internal audit qualification;

SKILLS AND EXPERIENCE

Functional / Technical Competencies:

  • Good understanding of an effective financial crimes risk management framework, with excellent problem-solving skills;

  • Strong diplomacy, written, verbal and presentation skills;

  • Ability to work autonomously, initiate and prioritize own work;

  • Ability to establish and maintain strong, credible relationships across multiple departments and jurisdictions with key stakeholder groups at all levels including Compliance, Audit and Regulatory Examiners.

  • Strong project management and organizational skills with the ability to multi-task and manage competing priorities; and,

  • Team player and ability to work collaboratively.

Education / Qualifications:

  • Bachelor’s Degree or 5-8 years equivalent experience

PERSONAL REQUIREMENTS

  • Excellent communication and interpersonal skills

  • Ability to work independently

  • Results driven, with a strong sense of accountability

  • A proactive, motivated approach

We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the 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

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