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Risk & Controls Testing & Assessment, Assistant Vice President

Company: MUFG
Location: Charlotte
Posted on: July 20, 2021

Job Description:


Your potential. Your opportunity.

Join a financial group that’s as committed to your future as you are.  At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group.

Job Summary:

In this role you will focus on implementing metrics in alignment with frameworks designed to identify, evaluate, and manage operations and technology related risks and controls across the company or a particular business or function. Responsibilities include partnering with the metric/process owner and first line of defense risk team to create valuable risk metrics that illustrate compliance with standards and procedures that illustrate risk reduction over time.


As part of an effective risk and control framework, Operations and Technology for the Americas (OTA) create metrics in alignment with processes related to Operations & Technology. This role will be a partner to the business as well as a review and challenge function to ensure data is complete and accurate for metrics created.

Major Responsibilities:

  • Support the execution and documentation of ITGC testing for in-scope processes across technology and First Line of Defense (FLoD) business units
  • Partner with stakeholders, including metric/process owners and control officers, to document key risk metrics in compliance with bank policies, procedures, and regulatory requirements to mitigate technology risk to the firm
  • Execute risk reviews of metrics with the ability to trace back to the native source and identify gaps
  • Liaise with risk assessment team and other stakeholders to ensure metric requirements are in alignment with broader risk assessment activities
  • Develop and distribute status reporting and communication related to metric activities
  • Provide ongoing communication to internal stakeholders throughout the testing process to keep them apprised of progress and findings, escalating when appropriate
  • Prepare written reports that summarize the objectives, scope, findings, and conclusions for each assigned review
  • Support iterative review and challenge of assessment results, working with appropriate stakeholders across the lines of defense
  • Work collaboratively with risk and control team to execute against technology risk governance procedures
  • Coordinate required meetings, reviews, and scheduling needs
  • Prepare materials for ongoing team meetings and meetings with senior management


  • Bachelor's degree in computer science, information systems, technology management, or equivalent preferred
  • 2+ years of experience in IT risk and controls performing:
    • audit and control checks,
    • implementation of control measures, or
    • key risk metrics and/or data analysis
  • Strong written and verbal communication skills to articulate information clearly and effectively
  • Strong analytical skills that can work with data, dashboards, reporting and key risk metric analysis
  • Experience in a project management role
  • Experience with process documentation, risk, and control assessments
  • Proficient with Microsoft Office (Project, PowerPoint, Excel, Word)
  • Ability to manage multiple priorities concurrently, prioritize, and efficiently complete responsibilities while maintaining the highest quality
  • Ability to support work streams with sometimes limited oversight/information from inception to completion
  • Ability to identify obstacles and work in conjunction with others to identify options/solutions
  • Ability to constructively work both independently and in collaborative environments involving all levels of management and employees
  • Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions

Preferred Qualifications:

  • Preferred: Experience and working knowledge of any NOSQL databases, design, and architecture
  • Preferred: Experience in creating complex queries using structured query language (SQL)
  • Preferred: Experience working in a full software development lifecycle using Agile project delivery
  • Preferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM) or Certified in Risk and Information Systems Control (CRISC)
  • Preferred: "Big Four" IT audit experience, Professional in Project Management (PMP), Six Sigma Black Belt or Green Belt professional certifications

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 / Affirmative Action 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 in employment decisions on the basis of any protected category.


A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.


Keywords: MUFG, Charlotte , Risk & Controls Testing & Assessment, Assistant Vice President, Other , Charlotte, North Carolina

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