Main Purpose of the Role
Experience financial crime audit professional to join Global Financial Crimes audit team as an Assistant Vice President (Audit Manager). Main responsibilities include executing audit engagements, supporting the Audit Director and Senior Audit Managers, and leading smaller engagements. Responsible for building relationships with regional and global counterparts.
Key Responsibilities
- Assist the Audit Director with portfolio, risk universe sections, risk assessments, and audit plans.
- Own assigned area during engagement and manage stakeholders.
- Help plan engagements, identify key risk areas, and produce quality Audit Planning Documents.
- Work autonomously to deliver smaller engagements on time and with quality.
- Devise effective tests of key controls, execute and document audit work, and conclude on effectiveness of controls.
- Escalate audit issues to senior management and negotiate solutions.
- Assess regulatory requirements and trends in financial crimes, incorporate into continuous monitoring.
- Deliver continuous monitoring assignments under supervision of Head of Audit.
- Maintain constructive stakeholder relationships for smooth planning and delivery.
- Follow up on issues to ensure closure of Management Action Plans, including testing remediated controls.
- Assist in preparing management information and third‑party submissions.
- Collaborate with internal audit colleagues regionally and globally.
- May also take a team role in EIAO’s strategic initiatives such as working groups.
Work Experience
- Internal Audit experience in the financial services industry.
- Financial crimes knowledge evidenced via experience and/or relevant professional qualifications.
Functional / Technical Competencies
- Excellent understanding of risk‑based auditing methodology.
- Understanding of financial crimes risks and controls in first and second lines of defence.
- Understanding of global regulation requirements for financial crimes.
- Ability to work well within a small, focused audit team.
- Ability to lead smaller audit engagements under supervision.
- Excellent written and verbal presentation skills.
- Excellent stakeholder management skills.
- Experience of agile auditing.
- Data analytics experience.
Personal Requirements
- Excellent interpersonal and communication skills.
- Confident, motivated self‑starter.
- Results‑driven with strong accountability.
- Focus on high‑quality output and coaching support.
- Operates with urgency and prioritises work.
- Strong decision‑making and sound judgement.
- Structured and logical approach.
- Creative and innovative approach.
- Manages material workloads and tight deadlines.
- Excellent attention to detail and accuracy.
- Calm under pressure.
Performance and Duties
The role holder will be assessed in accordance with their employing entity’s performance framework and process, with relevant input from the dual‑hatting entity as applicable. Duties may evolve, and the description will be reviewed and amended in consultation with the role holder. The role holder may have additional duties within the scope of the role as requested by line manager.
Managing Conflicts of Interest
- Responsibilities for MUFG Bank and MUFG Securities EMEA plc.
- Perform duties on an entity‑neutral basis.
- Follow regulatory requirements and maintain legal entity integrity for both MUFG Bank and MUS.
- Work under functional mandates dictated by Dual‑Hatt Arrangement Agreement and other agreements.
- Identify and resolve differences or conflicts between MUFG Bank and MUFG Securities EMEA plc, escalating to manager when required.
Equal Opportunity
MUFG is committed to diversity and inclusion, providing a non‑discriminatory recruitment environment. We oppose discrimination on grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief, marriage or civil partnership.
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