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MUFG · 20 hours ago

Internal Audit - Financial Crimes, Assistant Vice President

Tempe, AZ

Full-time

Hybrid

Mid, Senior Level

$92K/yr - $123K/yr

7+ years exp

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups. The Assistant Vice President role within the Global Financial Crimes Internal Audit function is responsible for executing independent, objective assurance and consulting activities designed to assess and evaluate the effectiveness of the Bank's governance, risk management and control processes.

Financial Services

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 walkthrough meetings and interviews with business stakeholders to develop understanding of business processes

Lead 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 design and operational effectiveness of internal controls and identify control weaknesses

Generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices, reporting findings and audit issues to Audit Management

Prepare workpapers and audit reports with documented results that adhere to methodology, applicable standards and regulatory requirements, using appropriate business and technical language

Document workpapers demonstrating 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 escalate and discuss findings with Audit Management and business stakeholders as appropriate

Complete work on a timely basis and deliver work products that meet objectives and standards of methodology, applicable standards and regulatory requirements

Qualification

BSA/AML compliance auditInternal audit processFinancial crimes riskCAMS certificationAudit data analyticsRegulatory agency experienceAnalytical skillsCommunication skillsProblem-solving skillsTeam orientedCritical thinking

Required

A bachelor's degree, preferably in Accounting, Finance, Business Administration, Criminal Justice or related business discipline at an accredited college or university

Minimum of 7 or more years of internal or external audit or risk management experience and/or equivalent experience with the financial services industry, related markets, and related regulatory agencies

Minimum of 5 or more years of financial crimes (BSA/AML/OFAC) compliance audit experience

Proficient understanding of the internal audit process including risk assessment, audit methodology, and execution

Proven knowledge in technology as required for assigned areas (MS Office, audit data analytics, etc.)

Highly motivated with the ability to multitask and remain organized in a high paced environment

Strong analytical and problem-solving skills

Expert understanding of financial crimes risk such as Bank Secrecy Act and Anti-Money Laundering (BSA/AML), Know Your Customer, and Sanctions is required

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

Team oriented with a strong sense of ownership and accountability

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

The ability to travel may be required