Associate, Audit Issues Management
Posted on: December 5, 2019
Sr. Auditor, Associate Issues Management
Do you want your voice heard and your actions to count?
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). In the Americas, we're 13,000
colleagues, striving to make a difference for every client,
organization, and community we serve. We stand for our values,
developing positive relationships built on integrity and respect.
It's part of our culture to put people first, listen to new and
diverse ideas and collaborate toward greater innovation, speed and
agility. We're a team that accepts responsibility for the future by
asking the tough questions and owning the solutions. Join MUFG and
be empowered to make your voice heard and your actions count.
The Associate, Senior Auditor position is a staff role within the
Internal Audit for the Americas Issues Management function. It
reports to an Audit Director. 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.
Travel required for the position, with an estimated range of 10-40%
varying on your location as well as key staff, business partners
and audit geographies.
- Execute on audits, including improving efficiency and
effectiveness over audits, while maintaining high quality results
and transforming into a dynamic customer obsessed business
- Maintain compliance with audit methodology, while also
operating within industry standard methodologies, applicable
regulations, and internal and external professional practice
- Execute all activities related to the end-to-end audit process
including, participating in client meetings.
- Lead walkthroughs by interviewing Business Management to
develop and understand client processes, risks and controls.
- Assist with drafting walkthrough documentation and gathering
materials needed for client meetings.
- Assist Audit Management with the following:
- Development of test plans, when needed
- Audit administration activities
- Participate in audit status meetings to discuss progress on
test work, resolve questions, share best practices, discuss
preliminary audit findings, etc...
- Identify control weaknesses and suggest appropriate
- Raise and discuss audit findings with Audit Management and
Business Management, when appropriate.
- Identify potential risks and controls, and assist in developing
scope and work programs
- Complete audit work in a timely manner and with high
- Prepare work papers that adhere to IAA methodology, applicable
standards and regulatory requirements and the QA checklists.
Documentation contains enough detail to demonstrate the work was
appropriately performed (e.g., detailed lead sheets describing the
control attributes that were tested and the results were documented
in a manner to support the conclusions reached, effectiveness and
sustainable controls are evident in documentation). Documentation
should stand alone to enable re-performance.
- 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.
- Build relationships with peers and clients within
- Act as a leader and role model and continuously improve self
Education and Certifications: 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 PMP, are
Skills and Experience:
- Five or more years of internal or external audit or risk
management experience; preferably within the area of Issues
Management and validation of remediated issues
- Experience in financial industry, related markets, and related
- Knowledge of risk assessment, audit methodology, and
- Demonstrated proficiency in technology as required for assigned
areas (MS Office, audit data analytics, etc.)
- Strong analytical and problem- solving skills.
- Excellent communication and written skills.
- Other skills as required in assigned areas of
- Aligned with MUFG Union Bank Code of Conduct, exhibits strong
ethical behavior, and adheres to other similar professional
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
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
Keywords: MUFG, Phoenix , Associate, Audit Issues Management, Accounting, Auditing , Tempe, Arizona
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