Audit Managing Director - Financial Crimes (BSA/AML) & Compliance Audi

New York
02 Jun 2019
30 Jun 2019
Job role
Contract type
Full time
Experience level
Audit Managing Director – Financial Crimes (BSA/AML) for the AmericasDiscover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S Global, April 2018) with total assets of over $2.9 trillion (106.2 (JPY) as of March 30, 2018) and 150,000 colleagues in more than 50 countries. In the U.S., were 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 thats working to fulfill its vision to be the worlds most trusted financial group.Job Summary / Major Responsibilities: This position is a senior management role within the Internal Audit for the Americas function. It reports to the Managing Director, General Auditor, and sets enterprise–wide strategy for audit: operations, practices, reporting, and technology solutions. It owns relationships with C–level executives and will have Board–level interaction from time to time. This position is responsible for all aspects of audit OPS, including internal and external stakeholder management, regulator and third–party relationships, staff management, and accountability for the quality of and judgment calls in resulting work. Key Responsibilities: Lead & maintain overall responsibility for the quality of internal audits conducted by the Americas Compliance & BSA/AML internal audit groupEffectively plan & oversee the execution of the Banks annual compliance audit plan, identifying areas of business environment and regulatory change, increased scrutiny and emerging compliance internal audit hot topics for inclusion within the Banks annual audit plan Deliver insightful, timely and complete internal audit reports, drawing upon prior industry, internal audit and regulatory compliance experienceAssist in validating successful closure of internal and external (e.g., regulatory) issuesProvide transparent reporting to the Global Head of Financial Crime/Head of Americas Compliance Audit and the Chief Audit Executive for the Americas, business process stakeholders and the Banks Audit & Finance Committee, where appropriate, regarding the status and results of the Banks annual compliance audit program Employ excellent interpersonal, communication and negotiation skills in order to influence and effect organizational changeProactively communicate issues and maintain independencePossesses strong project management skills and exhibits initiative and intuitive thinking. Demonstrates ability to meet strict deadlinesFrequently involved in matters that require complex judgments Employs strong critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environmentFosters a positive working environment and mentors junior audit resourcesProactively invests in the professional development of internal audit personnelEffectively partners with other internal audit groups to provide subject matter expertise in the joint execution of internal audits with regulatory impactsParticipates in major business initiatives and pro–actively advises and assists the business on change initiativesInternal / External RelationshipsProvide timely and direct reporting regarding the status of the compliance audit program to the Global Head of Financial Crime/Head of Americas Compliance Audit and the Chief Audit Executive for the Americas and/or the Audit & Finance Committee, as appropriateCoordinate with federal and state regulatory examiners during relevant compliance examinationsManage all regulatory deliverables through effective communication, ensuring the timely provision of materials to regulatory agencies and engaging with regulators to enhance the organizations reputationDevelop effective relationships with senior business line management and has a strong understanding of enterprise–wide business linesConsidered a trusted advisor to and consulted frequently by business lines and risk management functionsLead, mentors and invests in the professional development of a team of dedicated compliance internal auditorsBusiness and Technical KnowledgeSeasoned subject matter expertise and technical understanding of core compliance and BSA/AML–related regulatory requirementsDemonstrate an understanding of consumer and commercial banking products and services, especially those associated with mortgage, credit cards, deposits and retail operationsExtensive knowledge of the regulatory environment, regulatory agencies and trends in enforcement activity impacting the organizations products and servicesQualifications:
Qualifications & requirements:

Education: A
bachelors degree in relevant discipline (e.g., accounting, finance, economics)
is requiredProfessional
certifications strongly preferred; specifically: CRCM (Certified Regulatory
Compliance Manager), Certified Financial Services Auditor (CFSA), Certified
Anti–Money Laundering Specialist, or Commissioned Examiner strongly preferredExperience:
experience, a minimum of 15+ years in a related role with progressive
experience in the financial services industry; preferably within similar roles
for peer institutions, regulatory agencies, and/or leading professional
services firmsDemonstrated
success in developing, implementing and leading the execution of
enterprise–wide compliance audit programsDeep
technical knowledge of core compliance and BSA/AML–related regulatory
analytical skills and problem solving capabilities Proven
track record in project management and coordination / integration efforts
across multiple groups, preferably within enterprise–wide internal audit
communication, negotiation and presentation skillsStrong
work ethic, ability to make decisions, and work under tight deadlines Strong
interpersonal skills; ability to engage and partner with all levels of internal
audit and business line managementAbility
to travel is required

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

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

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