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Global OFAC Audit, Associate/Assistant Vice President

at MUFG Americas

Posted: 6/18/2019
Job Status: Full Time
Job Reference #: 10026335-WD-SECONDARY-45
Keywords:

Job 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.
Position Summary:
The Associate/AVP Senior Technology Auditor position is an individual contributor role within the Global OFAC audit team; part of the Internal Audit for the Americas function. The staff role reports to a VP (Audit Manager) or a Director (Senior Audit Manager). The position is primarily responsible for understanding key processes and controls, and conducting testing of ITGC and application controls within the global Sanctions processes. The candidate will perform the execution of IT testing across the Global OFAC audit assignments, including planning, fieldwork, and reporting. The position is responsible for internal stakeholder management and the supervision of and accountability for the quality of and judgment calls within the audit work.

Position Attributes:

This position does not manage staff. International travel is required for the position, with an estimated range of 25 - 40% varying on the location of the incumbent, stakeholders, and audit geographies.
Major Responsibilities:
  • Evaluate key technology systems and infrastructure within the global sanctions framework and identify and test key controls.
  • Identify potential risk, including awareness of risks both within span of control as well as enterprise-wide.
  • Participate in interviews of process owners to develop understanding of IT and business processes.
  • Identify control weaknesses and suggest appropriate remediation (i.e., recommendations for policy and process/procedures improvements).
  • Summarize / communicate / and report client issues/findings and audit recommendations to the Portfolio Audit Manager or Senior Portfolio Audit Manager.
  • Document results using appropriate business and technical language in Audit's work paper system.
  • Complete quality work on a timely basis and within budget.
  • 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 role model and continuously improve self and department.
  • Ideally the candidate would have five or more years of internal or external IT audit experience within Infrastructure and Applications audit and possess a relevant professional certification (CISA Preferred).
  • Bachelor's Degree or equivalent experience
  • Previous experience auditing BSA/AML or Sanctions technology related processes is a plus
  • Exposure to the financial industry and related markets desirable.
  • Familiarity with risk assessment, audit methodology, and execution.
  • Familiarity with Industry Guidelines / Practices (FFIEC, COBIT, COSO, etc.).
  • Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)
  • Excellent written and verbal communication skills.
  • Good time management, problem-solving, and analytical skills.
  • Ability to work independently with limited required direction and guidance.
  • Compliant with MUFG Union Bank Code of Conduct, exhibits strong ethical behavior, and adheres to other similar professional requirements
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.
To learn more about MUFG, review all current career opportunities, and apply please visit us online: www.mufg-americas.com/careers
We are committed to leveraging the diverse backgrounds, perspectives and experiences of our workforce to create opportunities for our people and our business. Equal Opportunity Employer: Minority/Female/Disability/Veteran.

Application Instructions

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