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MUFG Union Bank Regulatory Compliance Audit - Vice President 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 2020).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.

Position Summary :

The Vice President, Audit Relationship Manager-Regulatory Compliance position is a line management role within Internal Audit for the Americas function. It reports to the Audit Director, Markets and Markets Compliance. The position is primarily responsible for leading audit engagements and for engagement adherence to department standards. This includes supervision of more junior team members as necessary, leading audits and / or participating in audit execution, including planning, fieldwork, reporting, issue tracking and follow-up and internal stakeholder management.

Position Attributes :

This position generally does not manage staff in a reporting line relationship, but does lead staff on an engagement-by-engagement assignment basis. An estimated 10-40% of travel varying depending on location of you, key staff and partners.

Major Responsibilities :

  • Structure and execute efficient and effective audits.

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

  • You assign and review the work of audit team members for assigned engagements in coordination with Audit Director

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

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

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

  • You effectively handle partner relationships to a mutually accountable, productive, supportive, and trusted level

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


Qualifications :

  • Ten or more years of internal or external audit or 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 Corporate, Investment Banking (lending and underwriting), Capital Markets and Transaction Banking; 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 execution

  • Showed strength 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

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: Audit

Primary Location: NEW YORK-New York

Schedule Full Time

Shift Day

Req ID: 10038658-WD