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Sr. Audit Manager - Wealth Management & Trust, Director
Mitsubishi UFJ Financial Group
Brea, CA, United States
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Description
Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group.
Internal Audit for the Americas acts as the third line of defense, independently assessing first and second line management’s effectiveness in identifying, measuring, monitoring and controlling the risks of the Bank. We are searching for a Senior Audit Manager / Director with banking/financial services experience to lead the team responsible for auditing fiduciary and asset management activities, including trust and estate services and operations, corporate trust, global custody, broker dealer and registered investment advisor.
Qualifications include:
• Bachelor’s degree and 15+ years of Internal Audit experience, including experience with large complex financial institutions
• Related experience with fiduciary and asset management activities (such as trust and estate services and operations, corporate trust, global custody, broker dealer and registered investment advisor)
• Knowledge of: fiduciary laws and requirements in the areas of personal trust, corporate trust and global custody; SEC and FINRA regulations related to a dually registered Broker Dealer / RIA; and fiduciary risks associated with outsourced arrangements
• Ability to manage and execute the full life cycle of an audit, from planning to audit close
• Management and leadership skills, including the ability and interest to train and mentor other team members
• Critical thinking, analytical, and project management skills
• Ability to interact and communicate effectively with senior leadership, regulators, and staff at all levels
• Ability to perform risk assessments and analyze risk trends at a macro level, identifying signs of changing risk levels and/or symptoms of process control breakdowns
• Ability to identify and understand controls in changing environments
• Strong oral and written communication, including the ability to write clear, concise, non-technical and persuasive risk evaluation reports
• From 25 – 40% may be required.
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.
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