Associate - Financial Crimes & Compliance

Industry: Accounting, Finance & Insurance

  •  

5 - 7 years

Posted 117 days ago

This job is no longer available.

Description:
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., we’re 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that’s working to fulfill its vision to be the world’s most trusted financial group.
Job Summary: The Associate, Senior Auditor position is a staff role within the Internal Audit for the Americas function. It reports to either a VP, Audit Manager or a Director, Senior Audit Manager. The position is primarily responsible for completing quality work within assigned timeframes and budgets. This is generally the execution of assigned audits, including planning, fieldwork, reporting, and issue tracking and follow-up. Position Attributes: This position generally does not manage staff. Travel is required for the position, with an estimated range of 10-40% varying on the location of the incumbent and key staff and stakeholder and audit geographies. Major Responsibilities:

  • Execute an efficient and effective program of audit work
  • Lead interviews of process owners to develop understanding of business processes, client’s business
  • Identify potential risks and controls, and assist in developing scope and work programs
  • Evaluate internal controls design and effectiveness
  • Identify control weaknesses and suggest appropriate remediation
  • Document results using appropriate business and technical language in workpaper system
  • Report findings and client issues to Portfolio Manager or Senior Portfolio Manager
  • Assist with workpaper review and report preparation
  • Complete work on a timely basis and with high quality Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations
  • Build relationships with peers and clients within organization Act as a leader and role model and continuously improve self and department

Qualifications:

  • Five or more years of internal or external audit or risk management experience
  • Experience with the financial industry and related markets, and related regulatory bodies
  • Knowledge of risk assessment, audit methodology, and execution
  • Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)
  • Strong analytical and problem solving skills
  • Strong verbal and written communication skills
  • Other skills as required in assigned areas of responsibility OTHER
  • Compliant with MUFG Union Bank Code of Conduct, exhibits strong ethical behavior, and adheres to other similar professional requirements
  • Bachelor’s degree required

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.

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