Internal Controls Assurance and Advisory, Assistant Vice Pre

Company: MUFG Union Bank
Location: Tempe
Posted on: April 9, 2021

Job Description:

MUFG is committed to the safety and well-being of our colleagues, clients, candidates, and the community as we manage the current COVID-19 pandemic. During this time, as we continue to recruit and hire exceptional talent to join our team, we are taking the necessary precautions to limit in-person contact, aligned with Federal, State, and local health recommendations and requirements. All interviews are being conducted remotely via Skype, FaceTime, or phone. Additionally, we have implemented remote on-boarding for new colleagues, as appropriate. Thank you for your interest in exploring career opportunities with MUFG. Internal Controls Assurance and Advisory, Assistant Vice President Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020). In the Americas, we're 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We're a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.
Job Summary Employees in this role type work with Non-IT VPs on that VPs portfolio of SOX 404 or internal control over regulatory reporting, processes. In doing so they typically work on less complex processes. This work includes:--

Major Responsibilities:

• Documenting and updating process documentation
• Identifying and confirming controls that mitigate risk
• Conducting process walkthroughs
• Documenting and maintaining non-IT control documentation
• Testing the design of non-IT controls
• Determining and updating non-IT control operating effectiveness testing approach
• Obtaining operating effectiveness testing evidence of non-IT controls
• Coordinating operating effectiveness testing with offshore resources
• Reviewing offshore testing, results and exceptions
• Working with CAA VPs or directors to resolve testing or other related issues
• Facilitating timely completeness of quality work
• Helping in identify process improvement opportunities
• Performing quality control testing, work documentation and issue identification for any controls assigned for on-shore testing.
• Supporting special not-IT projects or initiatives
• Thorough understanding of testing SOX controls.
• Comprehensive and current understanding of Sarbanes-Oxley rules, regulations, and best practices.
• Excellent analytical, organizational and project management skills.
• Excellent communication skills (both written and verbal) and interpersonal skills.
• Strong knowledge of banking/financial services industry.
• Proficient in Microsoft suite of products - Word, Excel, and PowerPoint Education, Licensure, Experience:
  • Accounting or finance degree is required.
  • CPA certification is a plus.
  • Minimum 9 years related experience, including a minimum of 4 years SOX-related experience and 3 years banking experience.
  • Public accounting experience is a plus. The above statements are intended to describe the general nature and level of the 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. We are committed to ensuring that our online application process provides an equal employment opportunity to all applicants, including individuals with disabilities. If you are an applicant with a disability, or are assisting an applicant with a disability, and require accessibility assistance or an accommodation to apply for one of our jobs, please submit a request by telephone at 1-866-275-4717 or email us at AskHR@us.mufg.jp . Include your contact information and specific details about your requested accommodation. 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.

Keywords: MUFG Union Bank, Tempe , Internal Controls Assurance and Advisory, Assistant Vice Pre, Other , Tempe, Arizona