Global Financial Crimes Audit Lead

About Us :

Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with over 360 years of history, MUFG has a global network with over 2,100 locations in more than 50 markets. The Group has over 160,000 employees and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

The Group aims to “be the world’s most trusted financial group” through close collaboration among our operating companies and flexibly respond to all of the financial needs of our customers, serving society, and fostering shared and sustainable growth for a better world. MUFG’s shares trade on the Tokyo, Nagoya, and New York stock exchanges.

MUFG Bank, Ltd. is Japan’s premier bank, with a global network spanning more than 50 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments and individuals worldwide.

In Asia, MUFG has a presence across 20 markets – Australia, Bangladesh, Cambodia, China, Hong Kong, Indonesia, India, South Korea, Laos, Malaysia, Mongolia, Myanmar, New Zealand, Pakistan, Philippines, Singapore, Sri Lanka, Taiwan, Thailand and Vietnam.

It has also formed strategic partnerships with some of the most prominent banks in Southeast Asia, further augmenting its unrivalled network across the region – VietinBank in Vietnam, Krungsri in Thailand, Security Bank in the Philippines and Bank Danamon in Indonesia.

MUFG Global Service Private Limited :

Established in 2020, MUFG Global Service Private Limited (MGS) is 100% subsidiary of MUFG having offices in Bengaluru and Mumbai. MGS India has been set up as a Global Capability Centre / Centre of Excellence to provide support services across various functions such as IT, KYC / AML, Credit, Operations etc. to MUFG Bank offices globally. MGS India has plans to significantly ramp-up its growth over the next 18-24 months while servicing MUFG’s global network across Americas, EMEA and Asia Pacific

About the Role :

Position Title : Global Financial Crimes (GFC) - Audit Manager

Corporate Title : Assistant Vice President (AVP)

Location : Bengaluru

Job Profile : Position details :

The GFC Audit Manager is responsible for executing and delivering all audit engagements assigned to them by the Chief Auditor and Heads of Audit. GFC Audit Managers support the relevant Head of Audit and Senior Audit Managers in delivering the audit plan. The role includes responsibilities to support annual planning processes and the maintenance of the audit risk universe.

GFC Audit Managers will have demonstrable subject matter expertise across the breadth of Financial Crime program components as well as a clear ambition for further personal and technical professional development.

Roles and Responsibilities :

• Support the Head of Audit in their management of the GFC Audit portfolio, risk universe sections, risk assessments and audit planning and execution.
• Take demonstrable ownership of assigned areas of responsibility during the audit engagement and manage the stakeholders (both internally and externally).
• Help and support the Head of Audit and Senior Audit Manager in planning engagements by identifying relevant key risk areas and producing quality Audit Planning Documentation.
• Demonstrate strong accountability and responsibility for the delivery of assigned audit work. Executing audit and issue management / validation on time and in line with departmental key performance indicators (KPIs) for quality, impact and effectiveness.
• Evaluate principle Financial Crime risks and devises effective and efficient strategies to tests key controls. Execute and document audit work and conclude on the results and overall effectiveness of controls, in-line with Internal Audit methodology standards.
• Escalate issues identified through the course of audit work to senior management. Interact constructively with audit stakeholders and audit team members to develop and negotiate solutions.
• Assess regulatory requirements and trends in financial markets and incorporate this into continuous monitoring activities. Deliver continuous monitoring assignments for agreed audit entities under the supervision of the Senior Audit Manager.
• Maintain constructive relationships with stakeholders so that audit planning and delivery is achieved smoothly and professionally.
• Follow up on Internal Audit issues to ensure satisfactory closure of Management Action Plans. This will involve the testing of remediated controls before closure of issues.
• Assist the Head of Audit and Senior Audit Manager in preparing management information and third-party submissions.
• Work collaboratively with all internal audit colleagues regionally and globally.
• From time to time, you may be asked to take a role in Internal Audit’s strategic initiatives e.G. participating in working groups supporting strategic improvement initiatives within the department.

Job Requirements :

Personal Requirements :

Equal Opportunity Employer :

The MUFG Group is committed to providing equal employment opportunities to all applicants and employees and does not discriminate on the basis of race, color, national origin, physical appearance, religion, gender expression, gender identity, sex, age, ancestry, marital status, disability, medical condition, sexual orientation, genetic information, or any other protected status of an individual or that individual's associates or relatives, or any other classification protected by the applicable laws.