Vice President – Internal Audit for the Americas, Wealth Mar…

s
Company: MUFG
Location: Tempe, AZ

Apply

Primary Location: Tempe, AZ
Other Locations: Brea, San Francisco, or Monterey Park, CA

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.
Department Overview
Internal Audit for the Americas (IAA) acts in the third line of defense, independently assessing first and second line management’s effectiveness in identifying, measuring, monitoring and controlling the risks of the Bank. We are searching for an Audit Manager with banking/financial services experience to join the team responsible for providing audit coverage of Wealth Markets (Trust, Broker Dealer and Investment Management) and Transaction Banking.

Position Description

The Vice President – Audit Manager, based in Tempe, AZ, Brea or San Francisco, CA, will report directly into the Audit Director within IAA. The position will primarily focus on the Wealth Markets (Personal Trust, Broker Dealer and Investment Management), Custody and Corporate Trust Activities. . Additionally, the role offers opportunities to audit other business divisions within Transaction Banking and Regional Bank.

Responsibilities:

  • Lead audit engagements covering Wealth Markets, Custody and Corporate Trust or other functions including risk assessments, audit planning, audit testing, control evaluation, audit report drafting and follow-up and verification of issue closure.
  • Effectively manage team members during audit engagements including performing timely reviews and providing constructive feedback.
  • Will be accountable for meeting deliverables timely, adhering to department and professional standards and utilizing consistent methodology.
  • Communicate audit findings to management and find opportunities for improvement in the design and effectiveness of key controls.
  • Build and maintain key relationships with partners, establishing a culture of engagement while adding value.
  • Proactive coordination/interaction with the Corporate Function, Compliance and Technology Audit teams.
  • Be prepared to travel to locations within the United States (15%).

Qualifications:

  • Minimum of 7-10 years of internal/external auditing experience within a financial services environment.
  • Product knowledge and experience with trusts, broker dealer or investment management products.
  • Knowledge or experience with financing and trading operational processes; familiarity with Information Technology controls.
  • Strong knowledge and experience with banking and securities regulations and any legislative changes that are likely to impact our industry.
  • BS/BA required; Professional certification (e.g. CIA, CPA, and CFA) or willingness to pursue is a plus.
  • Proven ability to be able to multi task, complete projects on time and on budget, and adjust to changing priorities.
  • Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness.
  • Proficiency in risk analysis and report preparation.
  • Proven ability to work in a fast-paced environment and desire to learn quickly, being agile and nimble while thinking strategically.
  • Ability to lead audits and manage participating team members.
  • Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change.
  • Enthusiastic, self-motivated, effective under pressure and willing to take personal responsibility/accountability.

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.