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MUFG Union Bank Risk and Control Forum, Reporting and Escalation, Associate/AVP in Charlotte, North Carolina

Risk and Control Forum, Reporting and Escalation, Associate/AVP - 10043002-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.


The Control Framework Standards and Monitoring (CFSM) Program within the Central Risk and Control Office (CRCO) is being implemented to drive the timely, sustainable and effective first line of defense (FLoD) execution of risk management frameworks defined by the second line of defense (SLoD), and drive toward effective internal controls through the following objectives:

  • Develop, maintain and oversee execution standards for the FLoD control framework, to include FLoD Control Lifecycle Requirements (such as testing, monitoring, reporting and governance)

  • Enhance aggregated reporting and governance to increase the transparency of the control environment across FLoD, to include development and ongoing maintenance and reporting of quantitative metrics to measure FLoD effective implementation of SLoD risk management frameworks

  • Develop and oversee standards for FLoD Horizontal Control Programs (HCPs) (including Change Management, Fraud, Information Risk, Products & Services and Data) to include:

  • HCP Owner role and responsibilities

  • HCP implementation of minimum Control Lifecycle Requirements

  • HCP Action Plans in alignment with CRCO/CFSM requirements and execution

  • Enhance identification, oversight and escalation of risks and state of the first line control environment

  • Promote quality FLoD and SLoD interaction to enhance FLoD control execution and of SLoD risk frameworks

  • Establish a process to track and report on risk policy implementation within the FLoD

  • Implement and manage the Americas Enterprise Control Taxonomy (AECT)

Job Summary:

The position of Associate Vice President – First Line of Defense Risk and Control Forum, Reporting and Escalation will support CFSM through the following key responsibilities:

  • Support for execution and maintenance of FLoD risk and control forum and supporting reporting and monitoring efforts

  • Support for ongoing management of risk aggregation processes and associated reporting

  • Support development and ongoing maintenance and reporting of quantitative metrics to measure FLoD effective implementation of SLoD risk management frameworks

Major Responsibilities:

  • Support CFSM, CRCO and other first line leadership in implementation and ongoing management of FLoD risk and control governance processes and routines

  • Work with manager and CFSM colleagues to develop reporting templates, forms, and other documentation necessary for FLoD risk and control reporting activities

  • Support development and implementation of FLoD risk and control key risk metrics and reporting routines

  • Support in aggregation and analysis of data related to testing/validation and ongoing monitoring of the FLoD control program risk and control environment, including:

  • Gathering results of testing/validation and ongoing monitoring of the control program risk and control environment

  • Verifying completeness of data provided

  • Aggregating data and analyzing data for trends, common themes regarding risk and control governance matters, and recommending solutions, as applicable

  • Support CFSM management with the preparation and ongoing coordination of regularly scheduled and ad-hoc governance routines with the FLoD risk and control forum, senior management and oversight committees as required, including:

  • Supporting and maintaining the calendar of relevant governance routines

  • Capturing and maintaining meeting minutes

  • Preparing reporting templates, dashboards, scorecards, and other reporting materials

  • Develop and maintain strategic partnerships with risk and control teams, business units, control programs, and second line of defense partners, as well as other risk management functions throughout the organization



  • A BA/BS degree from a 4-year college

  • 2-5 years of banking or financial services industry experience

  • Experience in a bank line of business, controls, internal audit, or risk management preferred

  • Experience in testing, monitoring, and analysis related to financial services risk and control environments

  • Experience with large programs or projects including the following is desired:

  • Process re-design and/or development of governance frameworks, committees, policies, etc.

  • Fast turnaround, tight timelines, and/or crisis management environments

  • Strong proficiency in MS Office, including Excel and Power Point, is critical

  • Ability to communicate professionally and effectively in writing and verbally with all levels

  • Excellent critical thinking, analytical and problem-solving skills, and attention to detail

  • Ability to quickly build rapport, credibility, trust, and respect, and be viewed as a standout colleague

  • Ability and experience supporting meetings, by phone, in person, video, etc.

Join us as we evolve our organization to become

more agile, innovative and inclusive!

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 : Risk

Primary Location : NORTH CAROLINA-Charlotte

Job Posting : Apr 20, 2021, 10:48:51 AM

Shift: : Day

Schedule: : Full Time

Req ID: 10043002-WD