SOX IT Testing Lead, Assistant Vice President

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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

Job Summary

Working closely with SOX IT Testing Manager, this role is responsible for executing the annual program plan for Internal Controls over Financial Reporting (ICFR) for the Controller and Tax Services (CTS) Department - specifically Information Technology General Controls (ITGCs) and application automated controls, referred to as SOX IT controls.

The role works closely with CAA SOX IT Testing Manager on documentation of testing workpapers for SOX IT controls, and its utilization by the CAA department and various internal and external partners. The role also works with control owners to document SOX IT controls, coordinate control testing requests, and execute testing to evaluate control design and effectiveness.

The IT SOX Testing Lead is responsible for liaising with Non-IT SOX team to perform scoping of key applications and SOX IT controls into the annual SOX testing program. Additionally, the IT SOX Testing Lead is responsible for supporting the offshore testing team to ensure that the test work meets quality and internal standard guidelines.

You are a great fit for this position if you are a self-starter, have an agile mindset and 5 or more years of experience in risk and controls space including IT control testing and project management.

Major Responsibilities

Responsibilities include but are not limited to:

• Participate in planning and scoping of SOX IT controls including ITGC and automated application controls.
• Assist in coordinating and leading annual SOX IT walkthroughs with management.
• Supervise and perform initial review of the testing completed by the offshore testing team. Assist with testing documentation as needed.
• Assess impact from issues raised by CAA and various partners to the annual SOX program.
• Report SOX IT testing status and provide inputs for reporting to key internal and external partners.
• Act as a liaison to key partners (including Technology, Risk, and External Audit) regarding SOX controls.
• Support the SOX team in meeting critical deadlines. Demonstrate accountability and strong sense of ownership over the work product.

Skills and Work Experience

As a good fit for the role, you will have all or most of the following skills and work experience with:

• Bachelor’s degree in management information systems, Computer Science or a similar degree with a technology focus. CIA, CISA, CISSP or similar certification preferred.
• 5+ years of combined experience in IT audit, Technology Risk and/ or SOX ITGC assessment at a Professional Services or a Financial Services firm. Banking sector experience preferred.
• Experience in executing control testing, including ITGCs and ITACs, and issue evaluation
• Understanding of banking products, key business and IT processes, and regulations.
• Experience in collaborating with various teams across the organization.
• Some supervisory experience combined with ability to work independently and own the work product.

The typical base pay range for this role is between $98K - $121K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.

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 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.