Financial Crimes & Compliance Sr. Auditor, Associate

MUFG - Walnut Creek, CA

Full-time
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.

Responsible banking, innovation, diversity, work life harmony, and a personalized employee experience are just some of what MUFG stands for. Stand with the company that stands for more. Apply today if you are interested in joining our team and would like to learn more.

Internal Audit of the Americas acts as the bank’s third line of defense. Our mission is to influence management to improve the Governance, Risk Management and System of Internal Control across the Bank. We provide independent and objective assurance of the effectiveness of risk management and control practices, acting as a trusted advisor to the Board of Directors, Senior Management and other key stakeholders.

Job Summary:
The Associate, Senior Auditor position is a staff role within the Internal Audit for the Americas function. It reports to a VP, Audit Manager or a Director, Senior Audit Manager. The position is primarily responsible for completing quality work within assigned timeframes and budgets. This is generally the execution of assigned audits, including planning, fieldwork, reporting, and issue tracking and follow-up. This is a great opportunity for an experienced candidate looking for growth and learning opportunities.

Major Responsibilities:
Execute an efficient and effective program of audit work
Lead interviews of process owners to develop understanding of business processes, client’s business
Identify potential risks and controls, and assist in developing scope and work programs
Evaluate internal controls design and effectiveness
Identify control weaknesses and suggest appropriate remediation
Document results using appropriate business and technical language in workpaper system
Report findings and client issues to Portfolio Manager or Senior Portfolio Manager
Assist with workpaper review and report preparation
Complete work on a timely basis and with high quality.
Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations
Build relationships with peers and clients within organization
Act as a leader and role model and continuously improve self and department.
This is an individual contributor role.

Qualifications:
Five or more years of internal or external audit or risk management experience - BSA/AML.
Experience in financial industry, related markets, and related regulatory bodies .
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
Other skills as required in assigned areas of responsibility
Compliant with MUFG Union Bank Code of Conduct, exhibits strong ethical behavior, and adheres to other similar professional requirements
Bachelor’s degree required
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 and audit geographies.

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.