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Director - Americas Financial Crimes Audit


Posted: 1/11/2019
Job Reference #: 10024748-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:
The Director, Senior Audit Manager position is a management role within the Internal Audit for the Americas function. It reports to a Director, Head of Americas Financial Crimes Audit and is responsible for all aspects of development and delivery of audits for BSA/AML audit coverage related to high risk clients and products and managing remediation of regulatory issues related to BSA/AML, including internal and external stakeholder management, staff management, execution of the audit plan, and accountability for the quality and judgment calls in resulting audit work.
Position Attributes:
This position directly manages 2-6 direct reports. Budget management responsibilities may be assigned from time to time. 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 geographies.
Major Responsibilities:
Structure and execute an efficient and effective program of audit work to:
  • Identify potential risk, including awareness of risks both within span of control as well as enterprise-wide.
  • Assess the state of the governance, risk management, and control environment aspects relevant to that risk.
  • Report results in an effective and timely basis, leading to appropriate remedial action and ongoing management of risk.
  • Remediate issues raised by regulatory authorities, including the OCC and FRB.
  • Develop and manage a team of managers and auditors, who will be directly accountable for engagement management and execution.
  • Effectively manage senior executive relationships to a mutually accountable, productive, respectful, and trusted level.
  • Act as a leader and role model; engage as a team player in the Senior Leadership Team; develop staff across the department; and continuously improve self and department.
  • Provide guidance to and maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.


  • Fifteen or more years of internal or external audit or risk management experience, including significant management and leadership responsibility
  • Proven ability to lead audit teams and execution of an audit plan
  • Extensive experience with the financial industry and related markets and current industry events and trends, including specific experience in high risk products including trade finance and foreign correspondent banking
  • Extensive experience working with the financial industry regulators, including OCC, FRB, and FINRA and responding to regulatory requests
  • Extensive 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
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.