MUFG Americas

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Audit Risk Controls Manager - Issues Management Reporting, VP

at MUFG Americas

Posted: 4/1/2019
Job Status: Full Time
Job Reference #: 10026999-WD

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.


Job Summary:

A risk manager role in the 1st line of defense responsible for ensuring all open issues identified by banking regulators, internal audit, corporate compliance and management that are assigned to Financial Management of the Americas (FMA) are actively managed, remediated, and closed. This role will also include the production of issues reporting to senior management.

Major Responsibilities:

  • Manage the independent review and challenge of open issues closure requests by FMA managers and executives. Ensure integrity of issue closure requests prior to BURM and senior management review and approvals for submission to Internal Audit and Regulatory Affairs and regulators
  • Understand risks and controls, root cause analysis of control deficiencies, audit and regulatory issues. Ensure remediation and supporting evidence is appropriate and timely. Provide feedback to managers
  • Provide training and guidance to FMA business line managers and issue owners
  • Track and monitor remediation progress across all Finance business units. Provide periodic updates to the Business Unit Risk Manager, some working committees, and senior management
  • Work with the Business Unit Risk Manager team and the FMA organizational units to drive efficient and effective issue closures across Financial Management of the Americas
  • Prepare periodic open issue management (OIM) reporting for Financial Management of the Americas for review by the Business Unit Risk Manager and senior management in preparation for Executive of Committee of the Americas
  • Manage quality assurance related to open issues management reporting
  • Ad-hoc reporting for issues management
  • Establish strong working relationships with FMA Business Unit Risk Manager and the SF/LA/Tempe team
  • Manage relationships with 1st line of defense business managers across Financial Operations of the Americas and other Business Unit Risk Management teams
  • Build relationships with 2nd line of defense colleagues of the Risk Management of the Americas organization
  • Manage relationships with 3rd line of defense and external stakeholders including Internal Audit of the Americas and the Regulatory Affairs Office and banking regulators.

  • 7-10 years demonstrated experience in financial services risk and controls related function such as Internal Audit, Operational Risk, and SOX
  • Intermediate to advanced skills in Excel and PowerPoint
  • College degree or equivalent professional experience
  • Strong knowledge and experience in financial processes risk and controls
  • Experience performing independent review and challenge of audit issues (e.g. root cause, remediation evidence, validation)
  • Strong data mining and analysis skills to generate reporting
  • High attention to detail in internal control activities & reporting
  • Extensive knowledge of financial services including core processes of a finance organization
  • Strong knowledge of governance, risks and controls related to a diverse set of finance functions in a bank
  • Extensive knowledge of evaluating control environment including tests for design and operating effectiveness
  • Familiarity with finance, treasury and accounting business processes, IT and systems, and end user computing controls supporting finance processes
  • Internal audit experience or knowledge of internal audit practices and perspectives
  • Ability to communicate and liaise with all levels of management
  • Strong work ethic, ability to prioritize work and multi-task, make decisions & work under tight deadlines

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.

Application Instructions

Please click on the link below to apply for this position. A new window will open and direct you to apply at our corporate careers page. We look forward to hearing from you!