Director - Global Audit -- Head of Financial Crimes Program Management

New York
02 Jun 2019
30 Jun 2019
Job role
Contract type
Full time
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., were 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long–term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high–performing culture supported by Total Rewards that include our cash balance pension plan. Join a team thats working to fulfill its vision to be the worlds most trusted financial group.

Job Summary:

Reporting into the Global Head of Financial Crimes Audit, this position has been created for the purpose of establishing standards to provide independent assurance of financial crimes compliance and strengthen the financial crimes audit framework encompassing Anti–Money Laundering (AML), Sanctions, and Anti–Bribery and Corruption (ABC) at MUFG Bank.

One of key leadership positions within GFC Audit, this position will be responsible for leading a team that

Maintain centralized governance and oversight over financial crimes compliance audits.

Provides a holistic view of financial crimes risks, trends and controls.

Responds to evolving regulatory expectations.

Enables global collaboration and information sharing for financial crimes compliance audit activities.

The incumbent is responsible for providing leadership and oversight to ensure a globally consistent effort that enables continuing improvement to the independent and objective assurance of the effectiveness of the Banks financial crimes risk management and control practices.

Oversee Annual Audit Planning

Liaise with the Professional Practices Team in order to develop the annual planning project plan, facilitate annual planning kickoff, facilitate meetings to update the GFC audit universe, and oversee GFC audit plan updates .

Oversee meeting facilitation between Global and Regional Financial Crimes Audit Leads (and the Global Head of GFC Audit, as necessary) to review and issue vertical and horizontal audit reports .

Review issues management and closure activities:

Tracking, reporting, and monitoring of audit issues.

Coordinate and facilitate meetings between Global and Regional Financial Crimes Audit Leads (and the Global Head of GFC Audit, as necessary), to review results demonstrating non–conformance from internal and external / third–party quality assurance reviews and oversee the implementation of action plans.

Oversee coordination with the Professional Practices Team for the development of materials for and participate in various Board–level and Audit Committee meetings, status and governance routines with Global Financial Crimes Division (GFCD) (2ndline compliance) and shared services.

Supervise the coordination of responses to regional regulatory inquiries and exams.

Coordinate with the Professional Practices Team as for the development of global FC audit training and tracking of completion of training by FC auditors completing horizontal and vertical audits.

Interview potential candidates to support the GFC Audit Program Management Team.

Timely and effectively complete administrative responsibilities required (e.g., performance evaluation, etc.) outside of audit activities.Qualifications:


Bachelors degree, preferably in Accounting, Business Administration or related field of study.
Masters degree in Accounting and CPA is a decisive asset.

Minimum of a 10–15+ years related work experience in compliance and risk management.

Familiarity with current financial crimes regulatory bodies (e.g., FRB, SEC, OCC, FinCEN, OFAC, FATF, JMOF, MAS, FATF, etc.) and rules and regulations (e.g., USA PATRIOT Act, Bank Secrecy Act, OFAC screening regulations, FEFTA, APTCP, UK Bribery Act, etc.).

Experience interacting with the Executive Committee Leadership and audit subject matter experts.

Proven leader and excellence in execution in complex and demanding situations.

Demonstrated ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across MUFG Bank, and developing roadmaps to achieve long term vision through short term deliverables.

Results oriented with a strong ability to develop appropriate clear and concise program enhancing strategies.

Executive level presentation skills.

The above statements are intended to describe the general nature and level of 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.