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MUFG Union Bank Audit Director Markets in New York, New York


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 (as ranked by S&P Global, April 2018). In the Americas, we’re 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We’re a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.


The Director - Markets is a line management role within Internal Audit for the Americas function. The position is primarily responsible for leading audit engagements and for engagement adherence to department standards. This includes supervision of team members, leading audits and / or participating in audit execution, including planning, fieldwork, reporting, issue tracking and follow-up and internal partner management.

Position attributes

This position leads staff in a reporting line relationship and may also involve leading staff not in their direct reporting line. Travel for the position, with an estimated range of 10-40% varying on the location of key staff and partners.

Major Responsibilities:

Structure and execute efficient and effective audits to:

  • You will identify potential risk, including awareness of risks both within span of control as well as enterprise-wide

  • You will assign and review the work of audit team members for assigned engagements

  • You will assess the state of the governance, risk management, and control environment aspects meaningful to that risk

  • You lead report results in an effective and timely basis, leading to appropriate remedial action and ongoing management of risk

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

  • You will effectively handle senior executive relationships to a mutually accountable, productive, encouraging, and trusted level.

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

  • You will develop a team of managers and auditors, who will be directly accountable for engagement management and execution.

  • You will support following the Company’s policies and procedures, legal and regulatory requirements including but not limited to all rules, laws emanating from any of the regulatory authorities to which the Firm is subject;

  • You will conduct yourself at all times in a way which is commensurate with the Firm’s values;

  • You take reasonable measures to remain aware of key market and regulatory

  • You carry out management responsibilities (where applicable), staff training and development. This includes: providing job descriptions and setting objectives/personal development plans for, and performing performance appraisals of staff, handling appropriately any grievance or disciplinary issues, liaising with the Human Resources Department where appropriate.



  • 15 or more years of internal audit or with a partial mix of risk management experience, including management responsibility

  • Experience with the financial industry and related markets, regulatory bodies, and current industry events and trends, specifically in the areas of Capital Markets; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA, SEC and NASD rules.

  • Deep knowledge of risk assessment, audit methodology, and audit executionProficiency 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

  • Bachelor’s Degree Required – Accounting or Finance Preferred

  • Experience working with financial industry regulators, including OCC, FRB, and FINRA

  • Attention to detail

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: Risk

Primary Location: NEW YORK-New York

Schedule Full Time

Shift Day

Req ID: 10029852-WD