Risk Governance & Findings Management, Assistant Vice President

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

In this role you will focus on internal and external compliance requirements, activities, and deliverables to ensure that Operations & Technology meets regulatory and audit milestones. Responsibilities include engaging with regulators and / or leaders from other functions, including audit and compliance, and collaborating with Operations & Technology colleagues to prepare or review content prior to submission and manage follow-up actions. Role also includes establishing processes, enhancements, templates, and stakeholder matrices for activities including creating roadmaps aligned to recurring / ad hoc milestones. Ensuring stakeholders execute appropriately, meet milestones on time i.e. tracking, escalations and / or remediating risks / issues and developing and executing executive-level reporting.

This is a first line role, responsible for assessing newly identified risks, threats, and findings across our technology business. This individual works with other members to partner with operations and technology teams to drive effective risk management including governance. You will work collaboratively with teams across MUFG to review new risks / threats, identify potential control gaps, and ensure those gaps are addressed. In this role you will be responsible for management & oversight of Technology Findings Management, Exceptions Mangement and Risk Appetite Statement (RAS) governance.

RESPONSIBILITIES

Coordinate end-to-end management and oversight of technology findings remediation processes and reporting to align with threat and vulnerability management team objectives

Assist with end-to-end process for technology findings management, including roles and responsibilities across remediation and validation, business unit risk, and findings owner teams

Design and implement effective technology findings governance

Develop process for assessment of emerging risks and threats, evaluation of current control effectiveness, and processes to address any gaps

Establish management routines and procedures to ensure effective OTA-wide awareness, ownership, and execution of open findings and control gaps

Maintain strong engagement across multiple stakeholders and collaborate with key senior business partners

Recruit, develop, and retain key talent, ensuring that the resources dedicated to risk management are effective in carrying out the required functions

Governance of Risk Appetite Statement (RAS) metrics across all entities, ensuring alignment with organizational risk appetite and strategic objectives.

Collaborate with key stakeholders to define and refine metric criteria, thresholds and escalation triggers.

Monitor and assess the accuracy, consistency and completeness of RAS metrics reporting to board-level executives and senior leadership.

Ensure compliance with regulatory and internal policy requirements related to RAS metrics and risk appetite reporting.

Develop dashboards, reporting and executive summaries to enhance the visibility of RAS metrics and their implications for decision making.

QUALIFICATIONS

Bachelor’s degree required in technology, engineering, risk management, computer science, information systems or equivalent field

Graduate degree preferred

Preferred : Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM), or Certified in Risk and Information Systems Control (CRISC)

4-6 years of technology, risk, and control experience

Preferred : experience in a financial institution, "Big 4" audit, or other highly regulated environment

0-2 years of experience working at a major financial institution on audit and / or risk management initiatives / programs, including management responsibilities

Knowledge of information technology risk and process frameworks, including Committee of Sponsoring Organizations of the Treadway Commission (COSO), Control Objectives for Information and Related Technology (COBIT), National Institute of Standards and Technology (NIST), Cybersecurity Horizontal Reviews, and Information Technology Infrastructure Library (ITIL)

Knowledge of consumer banking, consumer lending, capital markets, commercial loans, trade services and payment operations etc.

Familiarity with U.S. regulatory requirements, compliance, and governance

Strong project management skills; includes an ability to independently drive work, and pragmatically solve problems

Understanding of risk management, including experience executing risk assessments, testing, and evaluating processes and controls

Prior supervisory and or management role with a focus on talent development

Excel at developing and communicating key messages to senior managers and regulators

Understanding of regulatory requirements and trends

Understanding of designing and implementing risk related management, governance, and frameworks

Maintain and create executive level reporting for senior stakeholders

Outstanding communication skills; able to foster close and collaborative productive working relationships across the organization

Ability to manage competing priorities in the risk environment

Strong work ethic, ability to make decisions and work under tight deadlines; achievement-oriented and takes initiative

Strong people management and influencing skills; proven strength in relationship development and leading through influence across multiple stakeholders

Ability to deliver results within a complex environment; develop and drive best practices

The typical base range for this role is between $88k to $111K per year depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and / or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary (https : / / careers.mufgamericas.com / sites / default / files / document / 2023-01 / mb-live-well-work-well.pdf)

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.

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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.

At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!

Our Culture Principles

Client Centric

People Focused

Listen Up. Speak Up.

Innovate & Simplify

Own & Execute

Salary : $88,000 - $111,000