Financial Crime Auditor

Job Description

Global Financial Crimes, AVP – Internal Audit | Mitsubishi UFJ Financial Group

The Tone:
This is a full-time role at Mitsubishi UFJ Financial Group, located in Bengaluru, India. MUFG is one of the world’s leading financial groups, striving to make a difference for every client, organization, and community globally. This role is vital in executing independent, objective assurance and consulting activities to assess and evaluate the effectiveness of the Bank’s governance, risk management, and control processes. Your actions will contribute to building trust and fostering shared growth within the organization.

The TL;DR
• Role: Full Time
• Type: Full-time
• Location: In-person, India (Karnataka), India – Bengaluru

• Team: Americas Financial Crimes Internal Audit function, reporting to a Director
• Mission: Execute independent, objective assurance and consulting activities to assess and evaluate the effectiveness of the Bank’s governance, risk management, and control processes.
• Tech Stack: MS Office, audit data analytics

What You’ll Actually Do
• Execute: Conduct and support Americas financial crimes internal audits by evaluating the operating effectiveness of compliance and the design and implementation of relevant controls.
• Lead: Conduct walkthrough meetings and interviews with business stakeholders to understand processes and communicate audit status or concerns throughout engagements.
• Identify: Assess potential risks and controls, assist in developing audit scope and work programs, and evaluate the design and operational effectiveness of internal controls.
• Document: Prepare comprehensive workpapers and audit reports with documented results that adhere to methodology and regulatory requirements, ensuring re-performance is possible.
• Report: Generate insightful observations and report findings and audit issues to Audit Management, identifying and escalating control weaknesses to business stakeholders as appropriate.

The Must-Haves
• Background: A bachelor’s degree, preferably in Accounting, Finance, Business Administration, Criminal Justice, or a related business discipline. This role is at the Assistant Vice President (AVP) level.
• Experience: Minimum of 6 or more years of internal or external audit or risk management experience within the financial services industry, including related markets and regulatory agencies. Minimum of 3 or more years of financial crimes (BSA/AML/OFAC) compliance audit experience.
• Skills: Expert understanding of financial crimes risk such as Bank Secrecy Act and Anti-Money Laundering (BSA/AML), Know Your Customer, and Sanctions. Proficient understanding of the internal audit process, including risk assessment, audit methodology, and execution. Strong analytical, problem-solving, communication (verbal and written), negotiation, and presentation skills, coupled with critical thinking abilities.
• Bonus: Chartered Accountant, CAMS, or CIA certification. An advanced degree, or equivalent postgraduate degree. Experience working with financial industry regulators, including OCC, FRB, SEC, and FINRA, and responding to regulatory requests.