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MUFG Union Bank Internal Controls Assurance and Advisory, Vice President in Tempe, Arizona

Internal Controls Assurance and Advisory, Vice President - 10041391-WD


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.

Job Summary

Employees in this role type work with Non-IT VPs on that VPs portfolio of SOX 404 or internal control over regulatory reporting, processes. In doing so they typically work on less complex processes. This work includes:

Major Responsibilities:

  • Documenting and updating process documentation

  • Identifying and confirming controls that mitigate risk

  • Conducting process walkthroughs

  • Documenting and maintaining non-IT control documentation

  • Testing the design of non-IT controls

  • Determining and updating non-IT control operating effectiveness testing approach

  • Obtaining operating effectiveness testing evidence of non-IT controls

  • Coordinating operating effectiveness testing with offshore resources

  • Reviewing offshore testing, results and exceptions

  • Assisting in drafting control issues

  • Working with CAA VPs or directors to resolve testing or other related issues

  • Facilitating timely completeness of quality work

  • Helping in identify process improvement opportunities

  • Performing quality control testing, work documentation and issue identification for any controls assigned for on-shore testing.

  • Supporting special not-IT projects or initiatives


  • Thorough understanding of testing SOX controls.

  • Comprehensive and current understanding of Sarbanes-Oxley rules, regulations, and best practices.

  • Excellent analytical, organizational and project management skills.

  • Excellent communication skills (both written and verbal) and interpersonal skills.

  • Strong knowledge of banking/financial services industry.

  • Proficient in Microsoft suite of products – Word, Excel, and PowerPoint

Education, Licensure, Experience:

  • Accounting or finance degree is required.

  • CPA certification is a plus.

  • Minimum 9 years related experience, including a minimum of 4 years SOX-related experience and 3 years banking experience.

  • Public accounting experience is a plus.

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 : ARIZONA-Tempe

Job Posting : Mar 4, 2021, 9:27:53 AM

Shift: : Day

Schedule: : Full Time

Req ID: 10041391-WD