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MUFG Risk and Control Testing and Assessments, AVP in Tampa, Florida

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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 120,000 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

In this role you will focus on implementing frameworks designed to identify, evaluate, and manage technology-related risks and controls across the company or a particular business or function. Responsibilities include integrating that framework with business operations and keeping key stakeholders across the organization informed about new or existing technology assets and third-party vendor engagements; leading or supporting various programs, including risk and control self-assessment (RCSA), process, risk, and control, and other risk policies, standards, and processes.

As part of an effective risk and control framework, Operations and Technology for the Americas (OTA) documents and executes risk and control assessments across processes related to Operations & Technology. There is a comprehensive coverage and joint accountability model that promotes early identification and assessment of operational and technology risk, effective design and evaluation of controls, and sustainable solutions to mitigate operational and technology risk. Control testing is an integral part of the bank’s compliance with policies and standards, identifying whether controls are operating as intended to mitigate associated risk.

RESPONSIBILITIES

  • Support the execution and documentation of ITGC testing for in-scope processes across technology and First Line of Defense (FLoD) business units

  • Partner with stakeholders, including process owners and control officers, to document controls, enhance control language, and develop/maintain test scripts that validate controls are being performed in compliance with bank policies, procedures, and regulatory requirements to mitigate technology risk to the firm

  • Execute testing of ITGCs and application controls based on internal and industry standards and guidelines for design and effectiveness

  • Participate in technology walkthroughs for ITGCs and application controls and prepare meaningful documentation

  • Coordinate control testing activities, including logistical scheduling and document retrieval to support control testing in accordance with internal requirements

  • Provide project management support in tracking and coordinating the execution of policy and standards control testing activities

  • Liaise with risk assessment team and other stakeholders to ensure control testing is in alignment with broader risk assessment activities

  • Create synergies by identifying opportunities to repurpose control testing results to satisfy assessment requirements across the bank

  • Develop and distribute status reporting and communication related to control testing activities

  • Provide ongoing communication to internal stakeholders throughout the testing process to keep them apprised of progress and findings, escalating when appropriate

  • Prepare written reports that summarize the objectives, scope, findings, and conclusions for each assigned review

  • Support iterative review and challenge of assessment results, working with appropriate stakeholders across the lines of defense

  • Support adoption of automated ITGC testing platform by identifying controls for inclusion and respective prerequisites and logic for automated testing

  • Work collaboratively with risk and control team to execute against technology risk governance procedures

  • Coordinate required meetings, reviews, and scheduling needs

  • Prepare materials for ongoing team meetings and meetings with senior management

QUALIFICATIONS

  • Bachelor's degree in computer science, information systems, technology management, or equivalent preferred

  • Preferred: degree from a competitive school, demonstrating a strong academic and extracurricular track record

  • Preferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM) or Certified in Risk and Information Systems Control (CRISC)

  • 5-6 years of experience in IT risk and controls

  • 2-5 years of experience in IT risk and controls performing audit and control checks or implementation of control measures

  • At least 2 years of actual programming experience in Python, and/or Java virtual machine (JVM) languages (Java/Scala)

  • Experience in creating complex queries using structured query language (SQL)

  • Experience with process documentation, risk and control assessments, and designing/executing IT General Controls (ITGC) test scripts

  • Understanding of the regulatory environment and regulations related to technology risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations

  • Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions, with and without technology

  • Experience in working with multiple IT risk and control domains such as identity and access management, privileged success, vulnerability management, audit logging, privacy, data loss prevention, enterprise architecture, release management and incident response

  • Knowledge of test-driven development (TDD), behavior driven development (BDD), and/or domain driven design

  • Working knowledge of unit testing, continuous integration (CI)/continuous delivery (CD) and Jenkins

  • Experience and working knowledge of any NOSQL databases, design, and architecture

  • Combined experience in IT external audit, IT internal audit and technology risk and/or ITGC assessment for compliance with Sarbanes-Oxley (SOX)

  • Experience working in a full software development lifecycle using Agile project delivery

  • Experience in designing, implementing, and operationalizing continuous control testing and monitoring of technology controls

  • Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management and incident response

  • Preferred: experience in a project management role

  • Ability to manage multiple priorities concurrently, prioritize, and efficiently complete responsibilities while maintaining the highest quality

  • Ability to support work streams with sometimes limited oversight/information from inception to completion

  • Ability to identify obstacles and work in conjunction with others to identify options/solutions

  • Ability to constructively work both independently and in collaborative environments involving all levels of management and employees

  • Strong written and verbal communication skills to articulate information clearly and effectively

  • Strong analytical skills that can work with data, dashboards, and reporting

The typical base pay range for this role is between $80K–$100K depending on job-related knowledge, skills, experience, and location. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.

For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary (https://careers.mufgamericas.com/sites/default/files/document/2023-01/mb-live-well-work-well.pdf)

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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.

#LI-Hybrid

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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