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About the Role
Position Title: Assistant Vice President, Financial Crimes Audit, Internal Audit Office for Asia (AIAO)
Corporate Title: Assistant Vice President
Reporting to: Regional Head of Financial Crimes and Compliance Audit, AIAO
Location: Mumbai, India
Job Profile
Position details
The candidate will be part of the Internal Audit Office for Asia – Financial Crimes and Compliance Audit (AIAO-FCCA) team, which is a dedicated regional audit team that covers financial crimes and core compliance in the Asia-Pacific region. The candidate will report to the Regional Head of Financial Crimes and Compliance Audit, AIAO-FCCA.
Roles and Responsibilities
Structure and execute efficient and effective audits to:
- Undertake the role of Auditor-In-Charge or Team Member for financial crimes and core compliance audits and reviews for the region.
- Lead and conduct interviews with process/control owners to develop understanding of business processes, controls and client’s business
- Identify potential risk, including awareness of risks both within span of control as well as enterprise-wide
- Assist in developing scope and work programs
- Evaluate internal controls design and effectiveness
- Identify control weaknesses and suggest appropriate remediation
- Document results using appropriate business and technical language in workpaper system
- Report and draft issues identified
- Complete work on a timely basis and with high quality
- Assign and review the work of audit team members for assigned engagements in coordination with Audit Director
- Assess the state of the governance, risk management, and control environment aspects relevant to that risk
- Report results in an effective and timely basis, leading to appropriate remedial action and ongoing management of risk
- Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.
- Build relationships with peers and stakeholders within the organization and effectively manage stakeholder relationships to a mutually accountable, productive, respectful, and trusted level. Act as a leader and role model and continuously improve self and department
- Assist the Regional Head of Financial Crimes and Compliance Audit, AIAO on ad-hoc activities and reporting
Job Requirements:
- Minimum 4 years of audit experience including experience in financial crimes (i.e. Anti-Money Laundering, Sanctions, Anti-Bribery and Corruption) and compliance in financial institutions and related markets, related regulatory bodies and/or Big 4 professional services firms.
- Experience with the financial industry and markets, regulatory bodies, and current industry events and trends
- Strong knowledge of risk assessment, audit methodology, and audit execution
- Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)
- Strong analytical and problem solving skills
- Strong verbal and written communication skills
- Exhibits strong ethical behaviour and adheres to other similar professional requirements.
- Degree qualified; Professional qualification in accountancy or auditing such as CIA, CA or CPA and relevant certification in Financial Crimes (e.g., CAMS) preferred.
- Regional travel may be required
Mitsubishi UFJ Financial Group (MUFG) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.
