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MUFG Union Bank SOX Controls Analyst, AVP in Tempe, Arizona


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:

Reporting to the Controls Assurance & Advisory (CAA) Manager, this position is responsible for updating internal control documentation and assessing the effectiveness of internal controls in financial or regulatory reporting for the Controller’s Department and other business units throughout the Bank.

Major Responsibilities:

  • Documentation of SOX controls, process flows, test scripts, narratives, and policies and procedures works with SOX control managers to monitor and assess the internal control over financial or regulatory reporting environment. SOX documentation includes but is not limited to control descriptions, process flowcharts depicting controls and systems in scope, test attributes to evaluate effectiveness and design of controls, process narratives, and policies and procedures. Controls may include End User Computing (EUC) controls, IT general controls, and SSAE16 (SAS-70) reports.

  • Execution of test plans in compliance with SOX control testing policy including documentation of test results and deficiency assessments. Responsible for conducting walkthroughs, coordinating and executing testing procedures, documenting issues/deficiencies, executing remediation testing, and summarizing overall test results.

  • Participation in key projects and initiatives as identified by SOX Program Office, such as providing controls expertise in completing the requirements for new relational data bases; execute testing procedures for key applications to support financial/regulatory reporting, or the like.


  • Typically requires Bachelor's degree in Accounting or Finance and minimum of 2 years of experience in external audit, internal audit and/or Sarbanes Oxley, or equivalent in the combination of education and experience; internal control testing experience, process mapping and control analysis.

  • Large institutional and/or financial services experience, Big Four experience, and CPA or CIA desired.

  • Strong analytical skills and judgment required to assess risks and controls in business processes.

  • Collaborative/ teamwork approach.

  • Comfortable working in fast-paced environment. Ability to handle multiple assignments effectively.

  • Knowledge and experience in applying End User Computing controls for applications, databases, spreadsheets, and models. Strong written and verbal communication skills.

  • Strong Microsoft Word, Visio, Excel, and Adobe Acrobat skills

  • Working knowledge of Hyperion, PeopleSoft, and OpenPages desired

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: Finance

Primary Location: ARIZONA-Tempe

Schedule Full Time

Shift Day

Req ID: 10038841-WD