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Vice President - IT Audit Manager - EIAO/GFC Audit

Employer
MUFG Securities EMEA plc
Location
London, UK
Salary
Competitive
Closing date
Mar 24, 2019

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Job Role
Auditor
Sector
Finance
Contract Type
Permanent
Hours
Full Time
OVERVIEW OF THE DEPARTMENT/SECTION MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. As one of the top financial groups globally with a vison to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. MUFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The group's operating companies include, but are not limited to, Bank of Tokyo-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings. Please visit our website for more information - mufgemea.com. Internal Audit for the EMEA acts as the third line of defense, independently assessing first and second line management's effectiveness in identifying, measuring, monitoring and controlling the risks of the Bank. The Director / Senior Audit Manager will provide leadership to a global team of IT audit professionals responsible for support of the Global Financial Crimes & Compliance Audit engagements worldwide. MAIN PURPOSE OF THE ROLE The Vice President, IT Audit Manager position is a line management role within the Internal Audit for the EMEA function, with a specific focus on supporting integrated audits within Bank's Global Financial Crimes function. It reports to either a Director, Senior Audit Manager or Managing Director, Division Audit Executive. The position is primarily responsible for project management on assigned audit engagements and for engagement adherence to department standards. This includes supervision of the execution of assigned audits, including planning, fieldwork, reporting, and issue tracking and follow-up. The position is responsible for internal stakeholder management and the supervision of and accountability for the quality of and judgment calls in audit work. It is also responsible for staff management on individual audit engagements. KEY RESPONSIBILITIES This position generally does not manage staff in a reporting line relationship, but does manage staff on an engagement-by-engagement assignment basis. Travel is required for the position within the assigned region, varying on the location of the incumbent and key staff and stakeholder and audit geographies Structure and execute an efficient and effective program of audit work to:
• Identify potential risk, including awareness of risks both within span of control as well as enterprise-wide
• Coordinate with Business Audit colleagues in design, execution and reporting of integrated engagements
• Assign and review the work of audit team members for assigned engagements in coordination with Audit Director
• Assess the state of the governance, risk management, and control environment aspects relevant to that risk
• Report results in an effective and timely basis, leading to appropriate remedial action and ongoing management of risk
• Provide ongoing monitoring for IAA on the progress of Global Financial Crimes Department efforts to ensure the effective development and implementation of corrective action plans and strategic initiatives in the regions and countries.
• Assist in validation of remediation activities involving technology solutions.
• Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations
• Effectively manage stakeholder relationships to a mutually accountable, productive, respectful, and trusted level
• Act as a leader and role model and continuously improve self and department SKILLS AND EXPERIENCE
• Internal or external audit or risk management experience, including management responsibility
• Experience with the financial industry and related markets, related regulatory bodies, and current industry events and trends
• Operational knowledge of Financial Crimes Compliance programs and applicable laws and regulations, including anti-money laundering, sanctions screening and anti-bribery and corruption processes and supporting systems.
• 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 analytical and problem solving skills
• Strong verbal and written communication skills
• Other skills as required in assigned areas of responsibility
• Technology, Compliance and Audit certifications, such as CISA, CISSP, CAMS, CIA, strongly preferred. PERSONAL REQUIREMENTS
• Excellent communication skills
• Results driven, with a strong sense of accountability
• A proactive, motivated approach.
• The ability to operate with urgency and prioritise work accordingly
• Strong decision making skills, the ability to demonstrate sound judgement
• A structured and logical approach to work
• Strong problem solving skills
• A creative and innovative approach to work
• Excellent interpersonal skills and enthusiasm
• The ability to manage large workloads and tight deadlines
• Excellent attention to detail and accuracy
• A calm approach, with the ability to perform well in a pressurised environment
• Strong numerical skills
• Excellent Microsoft Office skills (including Microsoft visio and excel) PERFORMANCE AND DUTIES The role holder will be assessed in accordance with their employing entity's performance framework and process with relevant input obtained from the dual hatting entity as relevant. As duties and responsibilities change, the job description will be reviewed and emended in consultation with the role holder. The role holder will carry out other duties as are within the scope, spirit and purpose of the role as requested by their line manager or Department Head. MANAGING CONFLICTS OF INTEREST
• The role holder will have responsibilities for both MUFG Bank and MUFG Securities EMEA plc.
• The role holder will be required to perform their duties and responsibilities on an entity neutral basis, without favour.
• The role holder is required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of MUFG Bank and MUS.
• Working terms are dictated by functional mandates, the terms of the Dual-Hat Arrangement Agreement in place between MUFG Bank and MUFG Securities EMEA plc and any other relevant agreements entered into between MUFG Bank and MUFG Securities EMEA plc.
• The role holder will have responsibility for identifying and resolving where there may be a difference or conflict in needs between MUFG Bank and MUFG Securities EMEA plc, escalating to their manager where required. MUFG, a global financial group is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership. We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.

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