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MUFG · 9 hours ago

Financial Crimes Audit, Vice President

Tampa, FL

Full-time

Hybrid

Senior Level, Lead/Staff

$129K/yr - $167K/yr

10+ years exp

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups, dedicated to making a difference for clients and communities. The Vice President of Financial Crimes Audit will be responsible for executing and delivering audit engagements focused on risk management and compliance with regulations related to financial crimes, while maintaining strong relationships with stakeholders.

Financial Services

Responsibilities

Responsible for the execution and delivery of audit engagements, maintenance of the risk universe and risk assessments of the portfolio, delivering risk-based audit engagements and demonstrating appropriate coverage of the key risks

Dynamically project-manage the audit plan, considering whether it remains relevant throughout the year, proposing changes as appropriate and addressing any challenges that might impact audit delivery timelines and/or timely review of workpapers

Maintain regular touchpoints with stakeholders to drive and support effective issue management and promptly escalate challenges

Address findings and management action plans through the life of the audit along with business stakeholders

Deliver and execute all engagements in adherence to audit methodology and standards, meet established deadlines, and include formal signoffs of key documents and processes within the audit file

Produce reports that are written for executive audience which are impactful, with clear key messages, factual, active voice, written in line with effective business writing requirements, and needing minimum edits

Responsible for developing and maintaining constructive, collaborative relationships with relevant senior stakeholders providing a commercial perspective and effective challenge and guidance as an independent, respected voice; share feedback from industry network and other external sources; partner on initiatives and remediation activities

Responsible for establishing regular meetings with senior stakeholders

Responsible for partnering with stakeholders to demonstrate impact and influence through tangible outcomes and raised standards of controls and behaviors in the stakeholder’s Control Environment

Leading internal reviews to ensure compliance and ensure detection of deficiencies or violations of applicable laws and regulations

Implementing controls for compliance with internal business policies and procedures, and global, regional, and local laws and regulations

Confirming that processes are in compliance with corporate objectives and government standards

Developing the audit scope, objectives, and work plans, including audit tests, controls, statistical methods, and survey, interview, and computer-assisted audit techniques

Communicating the audit plan, outlining key process steps by narrative or flowchart, and highlighting information inflows, outflows, and internal control components

Executing an efficient and effective program of audit work including: Obtaining relevant documentation

Conducting interviews with process owners to develop understanding of business processes, client’s business and compliance controls

Identifying any internal control design gaps

Recommending and initiating remediation and preparing detailed feedback for business unit management

Producing and presenting an audit report, observations, recommendations, and recording the end-to-end process

Performing testing procedures to support management's assessment of internal controls over financial reporting in accordance with the COSO Framework and Sarbanes-Oxley Act, including generation and evaluation of audit work papers

Supervising team deliverables, including timely and effective review of workpapers and prompt, constructive feedback to the auditors

Making recommendations to the Audit Committee or Board of Directors on issues raised during audit procedures and providing detailed feedback to business unit management

Working within compliance with audit methodology, operating within industry best practices, applicable regulations, and internal and external professional practice expectations

Collaborating with the business to develop and implement audit and control policies, procedures, and best practices

Encouraging business-level program documentation, contributing to training materials and KPI/performance reporting to support business-level program documentation

May coordinate with external auditors to prepare the attestation of management assessment on internal controls

Qualification

Financial crimes auditAnti-Money Laundering (AML)Anti-BriberyCorruption (ABC)Data analyticsProfessional auditing certificationsFinancial industry experienceRisk monitoring processesDatabase programmingStakeholder managementCommunication skillsProject managementTeam leadership