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Director, Senior Audit Manager
4 months ago
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Job Summary:
The Senior Credit Risk Audit Lead is a management role within the Internal Audit function and is responsible for oversight of audit's activities to evaluate and assess the effectiveness of the Bank's governance, credit risk management and control processes. This role has full responsibility for escalated decision-making, including, but not limited to, staffing, review of deliverables prepared by staff and enforcement of application of methodologies. The Senior Audit Lead provides thoughtful leadership, helps to enhance the department's risk identification, assessment methodology, audit approach and practices, and creates and executes strategies tied to departmental goals/objectives.
Management or Supervision:
Manages a team of VP and below (pre-approved exceptions may allow for Director and below).
Major Responsibilities:
- Coordinate and engage with regulatory agencies during examinations and oversee all regulatory deliverables, ensuring the timely provision of materials.
- Effectively manage senior executive relationships (internally and externally) to mutually accountable, productive, respectful, and trusted level. (e.g., ongoing stakeholder).
- Act as a leader, developing and promoting a workplace culture that values diversity of thought, promotes integrity and creates an atmosphere that supports coaching and fosters accountability.
- Engage as a team player across peer group and in influencing the Executive Leadership Team and Management.
- Manage a team of managers and auditors and develop staff across the department; and continuously improve self and department.
- Ensure timely delivery of audit results and implement standards for reporting results to the Audit & Finance Committee.
- Maintains expertise of auditable entity portfolio and enterprise including industry trends, business risks, control frameworks, management strategy, banking/regulatory practices; and understands the business' products, systems and processes.
- Effectively partner with internal audit teams to provide subject matter expertise in joint audit execution.
- Proactively advise business on change initiatives; and act as a trusted advisor to stakeholders and related risk management functions.
- Continuously monitor the business for changes impacting the control environment and determine potential revisions required to the audit plan.
- Provide leadership and oversight of audit execution, including ongoing monitoring and internal/external (e.g., regulatory) issue validation to ensure conformance with methodology, industry standards and regulatory expectations.
- Demonstrate awareness of risks both within span of control and across the enterprise, identifying potential concerns, control issues and root cause.
- Keep abreast of significant control issues, trends, developments and hot topics for inclusion within the annual audit plan.
- Review and challenge audit scope, inclusive of key risks relevant to the areas under review, with test objectives and test programs designed to opine on the design and operating effectiveness of controls, and ensure appropriate depth of coverage
- Assign and review the staff selected for audit engagements to ensure appropriate skillsets for execution.
- Review and challenge audit staff and auditor judgment in scoping, risk and control identification, findings and observations, and documentation to ensure accuracy.
- Proactively communicate issues, articulating the relevance of root causes across audit engagements and conducting trend analysis to determine the impact across the organization.
- Demonstrate extensive understanding of key risks and controls in subject area, and review and challenge key risks and controls identified by audit staff, with the ability to execute the full life cycle of an audit, from planning to audit close.
- Perform risk assessments and analyze risk trends at a macro level, identifying signs of changing risk levels and/or symptoms of process control breakdowns, informing development of a risk-based annual audit plan.
- Manages a team of credit risk auditors in the comprehensive assessment across multiple business lines of credit actions to evaluate the quality, timeliness and appropriateness of credit risk management functions.
- Credit actions reviewed will span all industries and customer verticals, ranging from large corporate client to middle market and direct lending borrowers.
- Assessment areas include but are not limited to:
- Regulatory rating assessment/conclusions
- Internal rating (e.g., Borrower Rating/Asset Securitization Rating) assessment/conclusions
- Timeliness of Reviews
- Risk Appetite, concentration management, stress testing and management reporting.
- SLoD Effective Challenge (evidence/quality)
- Adherence to policies, procedures and guidelines.
- A Bachelor's degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.
- Professional auditing certifications, such as the CIA, CPA, or CFSA, are highly desirable.
- Advanced degree preferred.
- Minimum of 10 years and/or equivalent of experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies.
- Experience interacting and coordinating with the financial industry regulators (e.g., OCC, FRB, etc.) and responding to regulatory requests.
- Extensive leadership experience required in audit area of coverage or equivalent.
- In-depth knowledge of Internal Audit and/or risk management experience, including significant management and leadership responsibility in a role directly involved with driving change and program enhancement.
- Deep knowledge of risk assessment, audit methodology, and audit execution.
- Proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.).
- Effective communication (both verbal and written), negotiation and presentation skills; strong interpersonal skills; and ability to engage with all levels of Audit, business line management, and internal/external stakeholders.
- Employ strong critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment.
- Experience interacting with Executive Committee Leadership, control function leadership, and compliance subject matter experts.
- Process oriented with a strong ability to develop appropriate program enhancing strategies.
- Proven managerial skills to successfully administer a core support and critical regulatory relationship function within a diverse organization and effectively coordinate between multiple business and support units.
- Ability to influence stakeholders and challenge the status quo, including managing conflicts and issue resolution.
- Possesses strong project management skills; preferably within internal audit functions; exhibits initiative and intuitive thinking; and demonstrates ability to meet strict deadlines.
- Relevant experience in successfully building out and managing a team.
- Ability to travel is required.
The typical base pay range for this role is between $171K - $215K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary
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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
