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Assistant Vice President - Global Markets Auditor

MUFGChiyoda-ku, Tokyo

13 days ago

Job description

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

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.

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Global Vice President • Chiyoda-ku, Tokyo

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