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Associate, Audit Issues Management

Company: MUFG
Location: Tempe
Posted on: December 5, 2019

Job Description:

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.
Position Summary:
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.
Position Attributes:
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.
Key Accountabilities:

  • Execute on audits, including improving efficiency and effectiveness over audits, while maintaining high quality results and transforming into a dynamic customer obsessed business model.
  • Maintain compliance with audit methodology, while also operating within industry standard methodologies, applicable regulations, and internal and external professional practice expectations
  • 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 remediation.
  • 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 quality.
  • 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 organization
  • Act as a leader and role model and continuously improve self and division.

    Qualifications:
    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 highly desirable.
    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 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.
    • Excellent communication and written skills.
    • Other skills as required in assigned areas of responsibility
    • Aligned with MUFG Union Bank Code of Conduct, exhibits strong ethical behavior, and adheres to other similar professional requirements

      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.

Keywords: MUFG, Phoenix , Associate, Audit Issues Management, Accounting, Auditing , Tempe, Arizona

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