Assistant Vice President - Global Markets Auditor

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

EDUCATION
• Degree or equivalent work experience equally preferable
• Degree in Accounting, Finance, Business Administration or related business discipline is preferred
• Advanced degree is desirable

CERTIFICATIONS
• Data Analyst and/or Tableau Certifications are highly desirable
• Professional auditing certifications, or work towards certification, such as the CIA, CPA, CISA or CFSA, are highly desirable

WORK EXPERIENCE
• At least 5 years of Internal or external audit or risk management working experience
• Experience with the global markets industry and products, and related regulatory bodies
• Experience in implementation of continuous auditing, agile auditing and/or risk monitoring processes preferred
• Experience in data processing, database programming, and/or data analytics preferred
• Experience in building data visualization and/or reporting solutions through Power BI, Tableau, or similar BI tools

FUNCTIONAL SKILLS
• Understanding of audit methodology and execution
• Project management skills; preferably within internal audit functions
• Proficiency in risk assessment, audit methodology, and execution
• Ability to perform risk assessment of business activities and perform testing based on the risks and processes with the business being audited
• Critical thinker who seeks to understand the business and control environment
• Understanding of how to write an effective workpaper, document testing and report writing
• Strong analytical and problem-solving skills
• Strong data analytics skills with high attention to detail and accuracy
• SQL and Database tools (TOAD/SQL Server Management Studio) preferred
• Knowledge of Big Data, Python and machine learning preferred
• Proven ability to utilize data analysis methodologies and tools to increase the efficiency and effectiveness of the audit process
• Able to manage and prioritize work effectively, driving a sense of urgency to complete tasks within short turnaround times
• Ability to engage with all levels of business line management
• Proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc)

FOUNDATIONAL SKILLS
• Communicates effectively
• Identifies multiple paths to success using analytical and critical thinking as well as decision-making skills
• Employs an agile, iterative process
• Communicates with executive presence to management
• Exercises sound judgement, prioritizes effectively, and strives for continuous improvement
• Effectively collaborates with colleagues
• Develops and fosters relationships with the business and management
• Leverages available technology to drive efficiency and results
• Understands and applies industry trends and best practices
• Exhibits optimism, resilience, flexibility, and openness to others' ideas
• Values learning as a lifelong professional objective
• Engages inclusively and with intent
• Always acts with integrity

RESPONSIBILITIES
• Individuals in the Global Markets Audit Job Function are responsible for the execution and delivery of audit engagements, working on the scoping, planning and reporting of audits, issue validation, and continuous monitoring activities. Auditors will focus on front to back processes and internal controls across Global Markets business, in particular:

• Functions: Front Office Sales, Front Office Trading, Treasury including Liquidity and ALM, Second Line Market and Liquidity Risk Management, Second Line Trade and Communication Surveillance, Back Office Treasury Operations (Trade Processing and Reporting)

• Products: eFX, FX, Interest Rate Derivative, Government Securities, Corporate Bonds, Debt Capital, Securities

Audit Delivery and Planning
• Work within compliance with audit methodology, operating within industry best practices, applicable regulations, and internal and external professional practice expectations
• Maintain the audit universe and risk assessments of auditable entities
• Provide support to dynamically manage the audit plan, considering whether it remains relevant throughout the year, proposing changes as appropriate
• Ensure timely delivery and adherence to audit methodology and standards, escalating any challenges that might impact the audit delivery timelines
• Responsible for the execution and delivery of audits within the audit plan and issue management/validation within Key Performance Indicators (KPIs), and to the required methodology and Quality Assurance standards

In particular:
- Deliver risk-based audit engagements and demonstrate appropriate coverage of the key risks
- Project-manage audit engagements with clear focus on timelines and deliverables, including timely and effective review of workpapers and receipt of prompt, constructive feedback

- Raise potential findings and management action plans promptly during the audit, working iteratively
- Maintain regular touchpoints with stakeholders to drive and support effective issue management and promptly escalate challenges
- Manage issue follow-up with stakeholders and validate issues to the required quality standards and within relevant KPIs, leveraging desktop validation where appropriate
- Deliver audit workpapers and files to meet all QA standards with minimum review points
• Through continuous monitoring, responsible for identifying and escalating emerging risk or any material changes that might impact the audit universe, risk assessment or audit plan

Stakeholder Relationships
• Responsible for developing constructive, collaborative relationships with relevant stakeholders, providing a commercial perspective and effective challenge and guidance as an independent voice: sharing best practices and feedback from industry network and other external sources; partnering on initiatives and remediation activities
• Responsible for establishing regular meetings with stakeholders, building trust, and bringing a collaborative mindset
• 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

Audit Process
• Participate in developing the audit scope, objectives, and work plans, including audit tests, controls, statistical methods, and survey, interview, and computer-assisted audit techniques
• Prepare communications regarding the audit plan, outlining key process steps by narrative or flowchart, and highlighting information inflows, outflows, and internal control components
• Contribute to an efficient and effective program of audit work including:
- Request and obtain relevant documentation
- Participate in interviews with process owners to develop understanding of business processes, client’s business
- Evaluate business, strategic, and reputational risks, identifying any internal control gaps and recommending remediation
- Document findings and observations, recommendations, and recording the end-to-end process
- Produce reports which include recommendations to the Audit Committee and Board of Directors on issues raised during audit procedures and providing detailed feedback to business unit management
- Confirm that processes are in compliance with corporate objectives and government standards and that associated documentation is reviewed and updated
= Collaborate with the business to develop and implement audit and control policies, procedures, and best practices
- Encourage business-level program documentation, contribute to training materials and KPI/performance reporting
• May coordinate with external auditors to prepare the attestation of management assessment on internal controls

Mitsubishi UFJ Financial Group (MUFG) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.