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MUFG Union Bank Senior Auditor Wholesale Banking - Assistant 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 2018). In the Americas, we’re 14,000 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.

Job Summary :

The Senior Auditor role within the Internal Audit function is primarily responsible for independent, objective assurance and consulting activity designed to improve operations by evaluating and improving the effectiveness of risk management, control and governance processes. This includes but not limited to execution of end-to-end audit process (I.e. testing, planning, fieldwork, reporting, independent validation of business activities related to regulatory requirements) and independently owning complex to general administration activities and project deliverables across the organization.

Major Responsibilities :

  • Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations

  • Act as a leader and role model and continuously improve self and department

  • Build relationships with peers and clients within organization and exhibit a high standard of performance and professional conduct that will create a culture of integrity and inclusion; where all individual and departmental choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct.

  • Operate with an innovative and flexible mindset by continuously identifying ways to enhance consistency, efficiency, quality and/or value.

  • Demonstrate professional skepticism and personal accountability.

  • Lead walk-thru and interviews of process owners to develop understanding of business processes, client’s business

  • Lead clear, crisp, formal discussions with business stakeholders throughout the duration of audit engagements to communicate status or concerns.

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

  • Evaluate internal controls design and effectiveness

  • Report findings and client issues with Audit Management

  • Prepare workpaper review, report preparation and document results that adhere to methodology, applicable and regulatory requirements.

  • Documentation contains enough detail to demonstrate the work was appropriately performed (e.g., detailed lead sheets describing the control attributes that were tested and the results were documented in a manner to support the conclusions reached, effectiveness and sustainable controls are evident in documentation). Documentation should stand alone to enable re-performance.

  • Identify control weaknesses and suggest appropriate remediation

  • Escalate and discuss audit findings with Audit Management and Business Management, when appropriate.

  • Complete work on a timely basis, deliver a product that meets objectives and standards of Internal Audit and Methodology requirements

  • Generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices.


Qualifications :

Education, Licensure, Year of Experience (and type of work experience):

  • A Bachelor’s degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.

Skills and Experience :

  • Minimum of 5-6 years and/or equivalent of experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies.

  • Experience preferred but not necessary in auditing business (front office)/ operations aligned activities and/ or credit risk aligned areas. [add more business area knowledge needed, here is example: Financial Crimes (BSA/AML High-Risk) compliance audits in areas such as trade finance and foreign corresponding banks activities, capital markets, and forensic investigations].

  • Exhibits effective communication (both verbal and written), negotiation and presentation skills; strong interpersonal skills; and ability to engage with all levels of internal audit and business line management.

  • Strong analytical and problem-solving skills

  • Employs critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment.

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

  • Ability to travel may be required.

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: 10039012-WD