Analyst, Senior Auditor Corporate Investment & Regional Banking

MUFG Americas; London; On-site; GBP 50,000 - 70,000; Full time

Job summary

MUFG Americas is seeking a Senior Auditor to join their EMEA Internal Audit Office in London. The role involves executing audit engagements, assessing risks, and ensuring compliance with audit methodologies. The ideal candidate will have a strong background in financial services, excellent communication skills, and a proactive approach to problem-solving. Join a leading financial group committed to diversity and innovation.

Qualifications

• Experience in risk management/compliance or audit function within Financial Services.
• Strong acumen regarding auditing methods and industry practice preferred.
• Corporate finance experience is a plus.

Responsibilities

• Execute audit engagements and adhere to audit methodology.
• Support issue validation and EIA risk assessments.
• Build relationships with key stakeholders.

Skills

Knowledge of auditing methodology and industry practices

Understanding of banking and financial services

Knowledge of corporate and investment banking

Education

Higher education or equivalent industry experience

Relevant industry qualifications (e.g. CIA, ACCA)

Project Management qualification

Job description

Analyst, Senior Auditor Corporate Investment & Regional Banking

Pay Competitive

Location London/England

Employment type Full-Time

Job Description

Req#: 10059597-WD

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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 6th largest financial group in the world. Across the globe, we’re 160,000 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.

MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

As one of the top financial groups globally with a vison to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

MUFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The group’s operating companies include, but are not limited to, MUFG Bank, Ltd., Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.

Please visit our website for more information - mufgemea.com.

EMEA Internal Audit Office (EIA), as the Bank’s third Line of defence, and in accordance with the Global Institute of Internal Auditors (IIA) International Standards (IIA Standards), provides independent assurance to the Board and Executive Management on the quality and effectiveness of governance, risk management and internal controls to monitor manage and mitigate key risks to achieving the Bank’s objectives.

NUMBER OF DIRECT REPORTS

None

MAIN PURPOSE OF THE ROLE

Senior Auditors are responsible for the execution of audit engagements, working within audit teams on the delivery of audit engagements. Delivery and execution of all engagements will adhere to audit methodology and include formal sign-offs of key documents and processes within an audit file.

The successful candidate will also support issue validation, EIA risk assessments and continuous monitoring.

Some travel may be required in the role (less than 15%).

Specifically, key responsibilities of the Senior Auditor will include:

Undertaking effective ongoing monitoring of the primary business areas in the EMEA portfolio covering thirteen risk types to assist the monitoring officer, highlighting key risk issues to the business and EIA management.

Within the portfolio, primary business areas include Corporate and Investment Banking, Japanese Corporate Banking, MUFG offices, branches and subsidiaries across EMEA together with product teams in London covering areas such as Project Finance, Aviation, Trade Finance, Securitisation.

• Participate in audit execution including planning, fieldwork, raising and documenting issues identified.
• Apply audit methodology to all work performed, seeking guidance as required.
• Assist in aspects of the maintenance of the EIA risk universe, risk assessments and audit plans where required.
• Ongoing monitoring and validation of audit issues raised.
• Assist and undertake continuous monitoring for areas assigned..
• Build and maintain constructive relationships with key stakeholders and auditees within their engagements.
• Execute and deliver aspects of audit engagements to the required methodology standard.
• Apply audit methodology to all work performed, seeking guidance as required.
• Understand and develop knowledge of the primary businesses as outlined above, including their risk and control environment.
• Develop an appreciation of risk and control more generally in banking.
• On occasions, be required to work on team initiatives.

Direct Reports:

• N/A.

WORK EXPERIENCE

Essential:

• Experience of working in a risk management/compliance or audit function within the Financial Services sector.

Preferred:

• Prior corporate finance experience.

.

SKILLS AND EXPERIENCE

Functional / Technical Competencies:

Essential:

• Knowledge of auditing methodology and industry practices.
• An understanding of banking and financial services is required.
• Knowledge of corporate and investment banking, compliance and other risks.

Preferred:

• Strong acumen regarding auditing methods and industry practice is preferred.
• Corporate finance experience

Education / Qualifications:

Essential:

Higher education or equivalent industry experience.

Preferred:

• Relevant industry qualifications e.g. CIA, ACCA are desirable but not essential.
• Project Management qualification.

PERSONAL REQUIREMENTS

• Excellent communication skills
• Collaborative nature and good team working ethos
• Results driven, with a strong sense of accountability
• A proactive, motivated approach.
• The ability to operate with urgency and prioritise work accordingly
• Strong decision making skills, the ability to demonstrate sound judgement
• A structured and logical approach to work
• Strong problem solving skills
• A creative and innovative approach to work
• Willingness to learn
• Excellent interpersonal skills
• The ability to manage large workloads and tight deadlines
• Excellent attention to detail and accuracy
• A calm approach, with the ability to perform well in a pressurised environment
• Strong numerical skills
• Excellent Microsoft Office skills

PERFORMANCE AND DUTIES

The role holder will be assessed in accordance with their employing entity’s performance framework and process with relevant input obtained from the dual hatting (see below) entity as relevant.

As duties and responsibilities change, the job description will be reviewed and amended in consultation with the role holder. The role holder will carry out other duties as are within the scope, spirit and purpose of the role as requested by their line manager or Department Head.

MANAGING CONFLICTS OF INTEREST

• The role holder will have responsibilities for both MUFG Bank and MUFG Securities EMEA plc (MUS).
• The role holder will be required to perform their duties and responsibilities on an entity neutral basis, without favour.
• The role holder is required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of MUFG Bank and MUS.
• Working terms are dictated by functional mandates, the terms of the dual-hat arrangement agreement in place between MUFG Bank and MUFG Securities EMEA plc and any other relevant agreements entered into between MUFG Bank and MUFG Securities EMEA plc.
• The role holder will have responsibility for identifying and resolving situations where there may be a difference or conflict in needs between MUFG Bank and MUFG Securities EMEA plc, escalating to their manager where required.

We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

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