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New York, NY, United States

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Risk & Controls Specialist Issues Management & Reporting, Vice President


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Job Description:

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world with total assets of over $2.4 trillion (as ranked by SNL Financial, April 2016) and 140,000 colleagues in nearly 50 countries. In the U.S., we’re 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 that’s working to fulfill its vision to be the world’s most trusted financial group.

Job Overview / Responsibilities:
  • A risk manager role in the 1st line of defense responsible for ensuring all open issues identified by banking regulators, internal audit, corporate compliance and management that are assigned to Financial Management of the Americas (“FMA”) are actively managed, remediated, and closed.
  • Manage various aspects of the first line of defense responsibilities of the issues management lifecycle, from the issuance of an issue through remediation, independent validation, and closure.
  • Lead quality assurance reviews of issue remediation, providing independent review and challenge of issues closure requests and supporting evidence by FMA managers and executives.
  • Ensure integrity of issue closure requests and readiness for independent validation by the third line of defense Internal Audit of the Americas, and other stakeholders including regulators.
  • Understand risks and controls, root cause analysis of control deficiencies, audit and regulatory issues.
  • Ensure remediation plans, execution and supporting evidence is appropriate and timely. Provide feedback to managers and senior management.
  • Track and monitor remediation progress across all Finance business units.
  • Provide periodic updates to the FMA Head of Issues Management and senior management.
  • Work with the Business Unit Risk and Control Office Issues Management team as well as the FMA organizational units to affirm and influence appropriate protocols and compliance with Bank policies and procedures.
  • Foster sustainable processes and promote efficiency and effectiveness of the issue closure process.
  • Prepare periodic open issue management (OIM) reporting for Financial Management of the Americas for review by the Head of Issues Management and senior management in preparation for Chief Financial Officer of the Americas and for the executive committees.
  • Manage quality assurance related to open issues management reporting.
  • Establish strong working relationships with FMA Head of Issues Management, BURCO, and the SF/LA/Tempe team.
  • Manage relationships with 1st line of defense business managers across Corporate Treasury and other Business Unit Risk Management teams.
  • Build relationships with 2nd line of defense teams that comprise the Americas Risk Management (“ARM”) organization.
  • Manage relationships with 3rd line of defense, Internal Audit of the Americas, and the 4th line of defense known as the various banking regulators.


  • Extensive knowledge of financial services including core processes of a finance organization
  • Prefer knowledge and experience in areas of Corporate Treasury functions, including funding and liquidity risk management, interest rate risk management, investment securities, and capital management (including CCAR/DFAST).
  • Strong knowledge of governance, risks and controls related to a diverse set of finance functions in a bank.
  • Experience working with Internal Audit, and/or performing independent validation, and/or control testing.
  • Extensive knowledge of evaluating control environment including tests for design and operating effectiveness.
  • Familiarity with finance and accounting business processes, IT and systems, and end user computing controls supporting finance processes.
  • Knowledge of internal audit practices and perspectives.
  • Some experience working with Risk and Control Self Assessments (RCSAs) for operational risk is helpful.
  • Experience and understanding of various risk disciplines (e.g. operational risk, market risk, liquidity risk, reputation risk, strategic risk, compliance risk, etc.).
  • Demonstrated experience producing and ensuring quality over reports for senior and/or executive management.

Additional Qualifications:
  • 10+ years demonstrated experience in financial services risk and controls related function such as Operational Risk or Audit.
  • Strong knowledge and experience in financial processes risk and controls.
  • Business process experience in Corporate Treasury functions.
  • Understanding of 12 CFR 30 – Banks & Banking Safety & Soundness, appendices A through D.
  • Experience performing independent review and challenge of audit issues (e.g. root cause, mitigation/ action plans, remediation evidence, independent validation).
  • Strong data mining and analysis skills to generate reporting.
  • Intermediate to advanced skills in excel (pivots, VLOOKUP), and PowerPoint.
  • High attention to detail in internal control activities including control descriptions, and issues reporting.
  • Ability to communicate and liaise with all levels of management.
  • Strong work ethic, ability to prioritize work and multi-task, make decisions & work under tight deadlines.
  • College degree or equivalent professional experience.
  • CIA certification preferred, or Internal Audit experience.

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.

Security Clearance:

NO Security Clearance

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