MUFG Americas
MUFG – Compliance Audit – Job Summary
Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group, one of the world’s leading financial groups. Across the globe we strive 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. WORK EXPERIENCE
Internal or external audit or risk management experience including financial crimes (Anti‑Money Laundering, Sanctions, Anti‑Bribery and Corruption) Experience with the financial industry, related markets, regulatory bodies and/or Big 4 professional services firms Prior experience implementing continuous auditing and/or risk monitoring processes Prior experience in data processing, database programming, and/or data analytics Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.) Experience in financial crimes compliance audit or equivalent (BSA/AML, AB&C, Sanctions) RESPONSIBILITIES
Audit Delivery and Planning – execute and deliver audit engagements, maintain the risk universe and risk assessments of the portfolio, and deliver risk‑based audit engagements. Project‑manage the audit plan, propose necessary changes, and address challenges that might impact audit delivery timelines. Maintain regular touchpoints with stakeholders to drive effective issue management and promptly escalate challenges. Address findings and management action plans through the life of the audit along with business stakeholders. Deliver and execute all engagements in adherence to audit methodology and standards, meet established deadlines, and include formal signoffs of key documents and processes within the audit file. Produce executive‑audience reports that are impactful, clear, and minimum‑edit. Build and maintain constructive relationships with senior stakeholders, partner on initiatives, and influence through tangible outcomes. Lead internal reviews to ensure compliance and detect deficiencies or violations of applicable laws and regulations. Develop audit scope, objectives, and work plans, including audit tests, controls, statistical methods, and survey, interview, and computer‑assisted audit techniques. Communicate audit plan, outline key process steps by narrative or flowchart, and highlight information inflows, outflows, and internal control components. Execute an efficient and effective program of audit work: obtain relevant documentation, conduct interviews, identify control design gaps, recommend remediation, and produce audit reports. EDUCATION
Degree or equivalent work experience equally preferable. Degree in Accounting, Finance, Business Administration or related discipline is preferred. Advanced degree is desirable. CERTIFICATIONS
Data Analyst and/or Tableau Certifications are highly desirable. Professional auditing certifications (CIA, CPA, CFSA) are highly desirable. Certified Public Accountant (CPA) or Certified Internal Auditor (CIA). Relevant certification in Financial Crimes (e.g., CAMS) preferred. Certified Regulatory Compliance Manager (CRCM). Certified Anti‑Money Laundering Specialist (CAMS). REMUNERATION & BENEFITS
The typical base pay range for this role is between $129K – $167K depending on job‑related knowledge, skills, experience, and location. This role may also be eligible for discretionary performance‑based bonus and/or incentive compensation. Comprehensive health and wellness benefits, retirement plans, educational assistance, and other benefits are provided in accordance with eligibility requirements and terms. EEO STATEMENTS
We are an Equal Opportunity Employer and comply with all applicable laws. We consider all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws. We do not discriminate based on race, color, national origin, religion, gender, sexual orientation, disability, or any other protected status.
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Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group, one of the world’s leading financial groups. Across the globe we strive 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. WORK EXPERIENCE
Internal or external audit or risk management experience including financial crimes (Anti‑Money Laundering, Sanctions, Anti‑Bribery and Corruption) Experience with the financial industry, related markets, regulatory bodies and/or Big 4 professional services firms Prior experience implementing continuous auditing and/or risk monitoring processes Prior experience in data processing, database programming, and/or data analytics Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.) Experience in financial crimes compliance audit or equivalent (BSA/AML, AB&C, Sanctions) RESPONSIBILITIES
Audit Delivery and Planning – execute and deliver audit engagements, maintain the risk universe and risk assessments of the portfolio, and deliver risk‑based audit engagements. Project‑manage the audit plan, propose necessary changes, and address challenges that might impact audit delivery timelines. Maintain regular touchpoints with stakeholders to drive effective issue management and promptly escalate challenges. Address findings and management action plans through the life of the audit along with business stakeholders. Deliver and execute all engagements in adherence to audit methodology and standards, meet established deadlines, and include formal signoffs of key documents and processes within the audit file. Produce executive‑audience reports that are impactful, clear, and minimum‑edit. Build and maintain constructive relationships with senior stakeholders, partner on initiatives, and influence through tangible outcomes. Lead internal reviews to ensure compliance and detect deficiencies or violations of applicable laws and regulations. Develop audit scope, objectives, and work plans, including audit tests, controls, statistical methods, and survey, interview, and computer‑assisted audit techniques. Communicate audit plan, outline key process steps by narrative or flowchart, and highlight information inflows, outflows, and internal control components. Execute an efficient and effective program of audit work: obtain relevant documentation, conduct interviews, identify control design gaps, recommend remediation, and produce audit reports. EDUCATION
Degree or equivalent work experience equally preferable. Degree in Accounting, Finance, Business Administration or related discipline is preferred. Advanced degree is desirable. CERTIFICATIONS
Data Analyst and/or Tableau Certifications are highly desirable. Professional auditing certifications (CIA, CPA, CFSA) are highly desirable. Certified Public Accountant (CPA) or Certified Internal Auditor (CIA). Relevant certification in Financial Crimes (e.g., CAMS) preferred. Certified Regulatory Compliance Manager (CRCM). Certified Anti‑Money Laundering Specialist (CAMS). REMUNERATION & BENEFITS
The typical base pay range for this role is between $129K – $167K depending on job‑related knowledge, skills, experience, and location. This role may also be eligible for discretionary performance‑based bonus and/or incentive compensation. Comprehensive health and wellness benefits, retirement plans, educational assistance, and other benefits are provided in accordance with eligibility requirements and terms. EEO STATEMENTS
We are an Equal Opportunity Employer and comply with all applicable laws. We consider all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws. We do not discriminate based on race, color, national origin, religion, gender, sexual orientation, disability, or any other protected status.
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