IT Audit Director - Financial Crimes

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 150,000 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

Individuals in the IT Audit Job Function focus on the adequacy and effectiveness of controls for the security, integrity, and resilience of information technology (IT), including applications, cybersecurity, information risk management, information security, and infrastructure
 

RESPONSIBILITIES
• Lead and manage the teams responsible for conducting efficient and effective programs of IT Audit work, including scope, controls, methods, communication, recommendations and remediation
• Oversee appropriate audit delivery, issue management and coverage of the portfolio, managing the portfolios within Key Performance Indicators (KPIs), within required methodology and Quality Assurance standards
• Maintain and manage the portfolio universe and risk assessments to ensure appropriate representation and calibration, as well as establishing a mechanism for building a forward-looking view of regulatory changes, emerging risks and new products and services
• Dynamically manage the audit plan for the assigned portfolio considering whether it remains relevant throughout the year, proposing changes as appropriate
• Actively participate in the development and implementation of the long-term vision, strategy and target operating model of EIA locally and globally, driving strategic initiatives and partnering with relevant peers
• Drive innovation and optimization in audit execution and monitoring
• Partner at all levels of the organization to develop, implement, and execute organization-wide audit policies that assure effective, efficient, and compliant procedures are followed
• Develop constructive, collaborative relationships with senior stakeholders providing a commercial perspective and effective challenge and guidance as an independent respected voice, partnering on initiatives and remediation activities
• Audit Delivery and Planning
• Accountable for the delivery of the portfolio of audits within the audit plan and issue management/validation for the assigned portfolio on time and within KPIs
 

In particular:
• Schedule audits effectively to achieve the step change in audit durations according to KPIs, to maintain full utilization in line with expected capacity expectations and to distribute audits evenly through the year
• Lead and manage risk-based audit engagements and demonstrate appropriate coverage of the key risks
• Oversee audit engagements with clear focus on timelines with strong supervision of the team deliverables, including timely review of workpapers
• Monitor audit delivery effectively and deliver within the deadline set; and meet interim milestones and avoid overruns
• Confirm potential findings and management action plans through the life of the audit in coordination with stakeholders
• Maintain regular touchpoints with stakeholders to drive and support effective issue management to Ensure delivery of audit files that meet all QA standards
• Validate issues to the required quality standards and within relevant KPIs through effective oversight and guidance of the team’s issue management activities
• Ensure data quality is in line with data quality related deadlines and expectations
• Accountable for the maintenance of the risk universe and risk assessments of assigned Auditable Entities
• Stakeholder Relationships
• Responsible for developing and maintaining constructive, collaborative relationships with relevant senior stakeholders providing a commercial perspective and effective challenge and guidance as an independent, respected voice, partner on initiatives and remediation activities
• 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:
• Oversee the team responsible for the audit of risk management and controls for information systems, platforms, and IT operating practices and procedures
• Provide expertise on the development of audit scope, objectives, and work plans, including audit tests, controls, statistical methods, and survey, interview, and computer-assisted audit techniques
• Set and manage appropriate audit delivery, issue management and coverage of the portfolio
• Communicate audit plan to leadership, outlining key process steps by narrative or flowchart, and highlighting information inflows, outflows, and internal control components
• Monitor and ensure an efficient and effective program of audit work including:
• Complete and accurate documentation
• Productive interviews with process owners
• Accurate and insightful evaluation of business, strategic, and reputational risks
• Identification of control design gaps
• Comprehensive audit report, observations, recommendations, and the timely initiation remediation
• Ensure that processes are in compliance with corporate objectives and government standards
• Make recommendations to the Audit Committee or Board of Directors on issues raised during audit procedures and consult with business unit leadership on follow-up
• Ensure compliance with audit methodology, operating within industry best practices, applicable regulations, and internal and external professional practice expectations
• Hire, develop and retain top talent
• Manage budget and resource allocation

FUNCTIONAL SKILLS
• Supervisory project management skills within internal audit functions
• Advanced risk assessment, audit methodology, and execution
• Demonstrated ability to drive analytics innovation, credibly challenge and proactively influence risk and control environments
• IP networks infrastructure
• Windows active directory
• Databases
• Mobile technologies
• Cloud Computing
• Standards / Frameworks

FOUNDATIONAL SKILLS
• Communicates effectively
• Anticipates changing business needs, adjusts priorities accordingly, and allocates necessary resources and budget to achieve objectives
• Equips the business to become an effective competitor in a highly dynamic landscape
• Considers stakeholder needs and input as well as best practices and insights from industry trends when making strategic decisions
• Employs an agile, iterative process
• Demonstrates broader enterprise-wide leadership outside the function
• Is flexible, decisive, and serves as a trusted advisor to senior leaders within the organization
• Demonstrates effective negotiation and influencing skills
• Prioritizes and facilitates a culture of continuous improvement and systems thinking
• Sets the tone for successful collaboration with other business units and corporate entities
• Creates an environment that fosters communication, transparency, and collaboration
• Cultivates innovation and values learning as a lifelong professional objective
• Leads by example, engaging inclusively and with intent
• Always acts with integrity

EDUCATION
• Degree or equivalent work experience equally preferable
• Degree in technology discipline preferred OR
• Degree with work experience in a technology-related field

CERTIFICATIONS
• CISA, CIA, CISM, CISSP or other relevant professional certification
• WORK EXPERIENCE
• IT Audit leadership experience in a large, complex financial institution

The typical base pay range for this role is between $180K - $232K depending on job-related knowledge, skills, experience, and location. This role may also be eligible for certain discretionary performance-based bonuses and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.

The above statements are intended to describe the general nature and level of 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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.