Mufg
Financial Services
Manager–CoreComplianceTesting&Monitoring
“Manager – Core Compliance Testing & Monitoring at Mufg. Skills: Compliance Testing, Risk Management, Internal Controls, Regulatory Adherence. Execute assigned Regional Testing and Monitoring activities. Lead walkthrough meetings and interviews”
Industry & Context.
Analytical skills; Problem-solving skills; Critical thinking skills
Ability to travel is required
What They're Looking For.
Must Have
Bachelor’s degree in Accountancy, Business, Law or Finance discipline, Minimum 10 years of experience in Compliance Assurance, Internal Audit, Controls testing, at least 5 should be in a Banking/Financial Institution, analytical and problem-solving skills, critical thinking skills, MS Office proficiency
Nice to Have
Relevant experience in reviewing Investment/Corporate Banking, and Global Markets business, Knowledge in banking related regulation/compliance subjects (e.g. MNPI, Conflicts, Customer Tax, Market Abuse, Market Conduct), Proficiency in one or more Asian languages (e.g. Japanese, Bahasa, Korean, Chinese etc), Data analytics skillsets (e.g., Alteryx and or other programming knowledge), Relevant compliance / accounting certifications (e.g. Chartered Accountants, CIA, CFA)
What You'll Do.
Execute assigned Regional Testing and Monitoring activities
Lead walkthrough meetings and interviews
Identify potential risks and controls
Evaluate design and operational effectiveness of internal controls
Identify control weaknesses
Lead formal discussions with business stakeholders
meaningful observations
Report findings to Business Units Management
Prepare workpapers and review reports
Document workpapers demonstrating work performed
Complete work on a timely basis
Deliver work products that meet objectives
Operate with an innovative and flexible mindset
Deploy use of data analytics and/or user-tools
How You'll Work.
Team & Collaboration
Engage with all levels of staff and stakeholders; Collaborate toward greater innovation, speed and agility
Communication Scope
Effective communication (both verbal and written); Negotiation; Presentation
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