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MUFG Union Bank Risk and Control Assessments, Vice President in Charlotte, North Carolina

Risk and Control Assessments, Vice President - 10043089-WD


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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020). In the Americas, we’re 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We’re a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.


In this role you will focus on implementing frameworks designed to identify, evaluate, and manage technology-related risks and controls across the company or a particular business or function. Responsibilities include integrating that framework with business operations and keeping key stakeholders across the organization informed about new or existing technology assets and third-party vendor engagements; leading or supporting various programs, including Risk and Control Self-Assessment (RCSA), process, risk, and control, and other risk policies, standards, and processes.

As part of an effective risk and control framework, Operations and Technology for the Americas (OTA) documents and executes risk and control assessments across processes related to Operations and Technology. There is a comprehensive coverage and joint accountability model that promotes early identification and assessment of operational and technology risk, effective design and evaluation of controls, and sustainable solutions to mitigate operational and technology risk.

Major Responsibilities:

  • Serve as member of the centralized risk assessments team overseeing timely completion of RCSAs, Policy and Standard Control Testing (PSCT), and other assessment programs

  • Manage updates to process documentation to reflect the current state of procedures, process activities, and process flows related to process area

  • Evaluate and perform an end-to-end analysis of the risk and control environment to identify significant gaps and weaknesses in partnership with stakeholders, including process owners and control officers

  • Manage the determination of inherent risk ratings, control ratings, and residual risk ratings of information risks

  • Communicate control gaps and deficiencies and risk exposures to senior management and SLoD, as appropriate

  • Coordinate with stakeholders to identify and report information risk- and project-related issues through appropriate methods (i.e., risk assessments, controls testing) to senior management, appropriate committees, and the Second Line of Defense (SLoD)

  • Communicate status reports to process / entity leads to ensure timely completion of assessment activities

  • Manage iterative review and challenge of assessment results, work with appropriate stakeholders across the lines of defense, and resolve and manage conflicts or incongruities alongside process teams

  • Participate in cross business and function governance to effectively manage risk

  • Prepare and present materials for ongoing team meetings and meetings with OTA senior management

  • Provide ongoing communication to internal stakeholders throughout the process to keep them apprised of progress and findings, escalating when appropriate

  • Provide project management support in tracking and coordinating the execution of policy and standards control testing activities

  • Collaborate with process owners, control officers, and Business Unit Risk Managers (BURMs) to develop logic for automated control tests, identifying relevant data sources and measurement criteria for respective controls

  • Communicate program status to senior management and stakeholders, identifying and escalating control gaps preventing adoption of automated testing

  • Work collaboratively with risk and control team to execute against technology risk governance procedures



  • Bachelor's degree from a competitive school, demonstrating a strong academic and extracurricular track record

  • 7 years of experience in a risk management role in information technology, information security, and/or operational risk management (includes operations, operational risk management, compliance, audit, and third party risk management within technology and/or information security), or a combination thereof

  • Experience with process documentation and risk and control assessments

  • Understanding of the regulatory environment and regulations related to technology and operational risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations

  • Experience with problem solving in a team environment by thinking outside of the box, providing innovative solutions with and without technology

  • Experience with managing resources effectively to execute required functions

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

  • 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

  • Strong written and verbal communication skills to articulate information clearly and effectively

  • Preferred: “Big Four" IT audit experience, Professional in Project Management (PMP), Six Sigma Black Belt or Green Belt professional certifications

  • Preferred: experience with process documentation, risk, and control assessments

  • Preferred: proficient with Microsoft Office (Project, PowerPoint, Excel, Word)

  • Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management and incident response

  • Preferred: experience in a project management role

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.

Job : Technology

Primary Location : NORTH CAROLINA-Charlotte

Job Posting : Apr 20, 2021, 5:29:41 PM

Shift: : Day

Schedule: : Full Time

Req ID: 10043089-WD