Assistant Vice President - Financial Crimes Auditor

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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.