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MUFG Union Bank Associate - Global Financial Crimes Audit (Anti-Bribery & Corruption ) in New York, New York


Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we’re 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that’s working to fulfill its vision to be the world’s most trusted financial group.

Position Summary:

The Associate, Senior Auditor position is a staff role within the Internal Audit for the Americas function. It reports to a VP or a Director. The position is primarily responsible for completing quality work within assigned timeframes and budgets. This is generally the execution of assigned Anti-Bribery & Corruption (ABC) projects and audits, including planning, fieldwork, reporting, and issue tracking and follow-up. The candidate should have functional knowledge of Anti-bribery & corruption risks, control programs, and audit programs

Position Attributes:

This position generally does not lead staff. Estimated 25% travel varying on your location as well as key staff and stakeholders.

Key Responsibilities

You execute an efficient and effective program of audit work including aspects such as:

  • You lead interviews of process owners to develop understanding of business processes and client’s business

  • You identify potential risks and controls, and assist in developing scope and work programs

  • You evaluate internal controls design and effectiveness

  • You identify control weaknesses and suggest appropriate remediation

  • You document results using appropriate business and technical language in workpaper system

  • You report findings and client issues to Portfolio Manager or Senior Portfolio Manager

  • You assist with workpaper review and report preparation

  • You complete work on a timely basis and with high quality

  • You maintain compliance with audit methodology, while also operating within standard methodologies, applicable regulations, and internal and external professional practice expectations

  • You build relationships with peers and clients within organization

  • You act as a leader and role model and continuously improve self and department

Are you ready for a significant and exciting opportunity?



  • Bachelor’s Degree required and JD preferred

  • Five or more years’ experience working within Internal/ External audit, Risk Management, Compliance, Legal, Operations, or Anti-Bribery & Corruption function.

  • Financial crimes (Anti-Bribery & Corruption) compliance audit experience

  • Financial industry, related markets and related regulatory bodies experience including familiarity with requirements under the FCPA and UK Bribery Act regulations.

  • CFE certification preferred

  • Experience working with the financial industry regulators, including OCC, FRB, SEC and FINRA and responding to regulatory requests

  • Knowledge of Anti-Bribery & Corruption or Political Activities Compliance, industry practices and emerging trends.

  • Knowledge of risk assessment, audit methodology, and execution

  • Proven knowledge in technology as required for assigned areas (MS Office, audit data analytics, etc.)

  • Strong analytical and problem solving skills

  • Strong verbal and written communication skills

The above statements are intended to describe the general nature and level of the 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: Finance

Primary Location: NEW YORK-New York

Schedule Full Time

Shift Day

Req ID: 10029778-WD