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The Vice President, Audit Manager position is a line management role within the Internal Audit Department. The position reports to either a Director or Managing Director. You are primarily responsible for project management on large scale global AML audit engagements and for engagement adherence to department standards. This includes advisory and subject matter expert input throughout the planning, fieldwork, and reporting audit phases over AML compliance processes and controls. You are responsible for internal partner management and the supervision of and accountability for the quality of and judgment calls in audit work. You are also responsible for staff management on AML project engagements.
This position generally does not lead staff in a reporting line relationship, but does lead staff on an engagement-by-engagement assignment basis. There is an estimated range of 10% to 40% travel varying on your location as well as the location of key staff and partners.
Structure and execute efficient and effective audit engagements to identify potential risk, including awareness of risks both within span of control as well as enterprise-wide
Perform ongoing reviews and assessments of global and regional AML financial crimes audit practices in the Americas, ASPAC, and/ or EMEA
Maintain global collaboration and information sharing for AML-related FC compliance audit activities.
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 meaningful to that risk
Remediate issues raised by regulatory authorities including the OCC and FRB
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 standard methodologies, applicable regulations, and internal and external professional practice expectations
Effectively manage partner relationships to a mutually accountable, productive, respectful, and trusted level
Act as a leader and role model and continuously improve self and department.
Are you ready to demonstrate your financial crimes knowledge?
Our culture gives me reason to believe in our vision. Day in and day out, we all come together as one MUFG. - Erjin S. - Managing Director, Transaction Banking Diversity at work. 100% score on human rights campaign. Corporate Equality Index 2014-2018 Our achievements. Best Corporate Bank in the World. Global Finance - 2018
Bachelor s Degree Required Accounting or Finance Preferred
Ten or more years of internal or external audit or risk management experience, including management responsibility
Experience within Financial Crimes (BSA/AML/OFAC) compliance audit in the Americas, ASPAC, and/ or EMEA.
CAMS certification preferred
Experience with the financial industry and related markets, related regulatory bodies, and current industry events and trends
Experience working with the financial industry regulators, including OCC, FRB, and FINRA and responding to regulatory requests
Deep knowledge of risk assessment, audit methodology, and audit execution
Demonstrated knowledge 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
Aligned with MUFG Union Bank Code of Conduct, exhibits strong ethical behavior, and adheres to other similar professional requirements
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