Internal Audit, Vice President - Market Risk & Capital Markets

• Act as a leader, developing and promoting a workplace culture that values diversity of thought, promotes integrity and creates an atmosphere that supports coaching and fosters accountability

• Engage as a team player across peer group while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.

• Effectively manage executive relationships (internally and externally), clients and peers to mutually accountable, productive, respectful, and trusted level and exhibit a high standard of performance and professional conduct that will create a culture of integrity and inclusion; where all individual and departmental choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct.

• Identify and understand risks and controls in changing environments with the ability to execute the full life cycle of an audit, from planning to audit close.

• Perform risk assessments and analyze risk trends at a macro level, identifying signs of changing risk levels and/or symptoms of process control breakdowns.

• Assess the business’ governance, risk management and control environment and generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices.

• Maintain compliance with audit methodology, while also operating within industry best practices, applicable standards and regulations, and internal and external professional practice expectations.

• Establish audit scope inclusive of key risks relevant to the areas under review, with test objectives and test programs designed to opine on the design and operating effectiveness of controls and ensure appropriate depth of testing.

• Assign and review the staff selected for audit engagements to ensure appropriate skillsets for execution.

• Review and challenge audit staff and audit judgment in scoping, risk and control identification, findings and observations, and documentation to ensure accuracy.

• Provide constructive input to Audit & Finance Committee and Management reporting.

Education and Licensure:

A Bachelor’s degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.

• Professional auditing certifications, such as the CIA, CPA, or CFSA, are highly desirable.

• Advanced degree preferred.

Skills and Experience:

• 7+ years and/or equivalent of experience in internal audit and/or equivalent of experience with the financial services industry, related markets and regulated industries, specifically in the areas of  Market Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA, SEC and NASD rules.

• Experience working with financial industry regulators, including OCC, FRB, and FINRA

• Deep knowledge of risk assessment, audit methodology, and audit execution

• Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)

• Strong project management skills; preferably within internal audit functions

• Employs strong critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment

• Strong verbal and written communication skills

The typical base pay range for this role is between $134K - $168K depending on job-related knowledge, skills, experience, and location. This role may also be eligible for certain discretionary performance-based bonus 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