Audit Quality Assurance - Financial Crimes, Vice President

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:

The Vice President, Senior Audit Quality Assurance & Improvement Program (QAIP) position is a leadership role within the Internal Audit for the Americas (IAA) function, reporting to a Director and supervising associates and analysts. The position is responsible for assessing departmental conformance with the IAA standards and driving change to improve processes, procedures, and quality throughout the audit department globally. The primary coverage area of the role will be Global Financial Crimes, including AML, Sanctions, and Bribery and Corruption.


Develop the annual quality assurance plan for Global Financial Crimes, implementing a risk based approach to prioritize plan and scope
Lead and execute the quality assurance plan, performing reviews of planning processes, risk assessments, audit execution, and regulatory and audit issue validations
Develop QA testing programs designed to effectively assess the departments conformance with IAAs audit methodology and regulatory requirements, including challenging audit scope, execution, and conclusions
Draft quality assurance reports recommending and communicating improvement opportunities to the audit teams
Continuously improve audit practices and methodology based on knowledge of best practices, industry standards and regulations and present areas and opportunities for alignment
Maintain knowledge of and industry leading practices around audit quality assurance and improvement
Proactively monitor changes to BSA/AML regulatory requirements
Partner with the Training department to develop specific training topics based on the results of quality assurance observations
Demonstrate professional skepticism and personal accountability
Delivery of high quality work within designated timeframes and budgetsQualifications:
Minimum of eight years of relevant internal audit experience, including solid understanding of BSA/AML requirements (e.g., KYC, OFAC/Sanctions, Transaction Monitoring)
Strong knowledge of bank and branch operations, including retail banking
Experience with the financial services industry, related markets, and related regulatory agencies
Bachelors Degree at an accredited college or university
Professional certifications, such as the CAMS, CPA, or CIA are highly desirable
Strong understanding of audit practices and methodology
Ability to influence stakeholders and challenge the status quo, including managing conflicts and issue resolution
Strong written and verbal communication skills
Strong project management skills and ability to coordinate/integrate efforts across multiple groups within audit globally
Highly motivated, takes initiative, problem solver, solution oriented
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.