IT BURCO - Regultory Oversight and Exam Management Lead

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.

In this role you will focus on internal and external technology risk requirements, remediation activities, and deliverables to ensure that ITA meets regulatory and audit milestones, deliverables and implements a sustainable process. Responsibilities include engaging with regulators and/or leaders from other functions, including audit and compliance, and collaborating with Technology colleagues to prepare or review content prior to submission and manage follow-up actions; establishing processes, templates, and stakeholder matrices for activities; creating roadmaps aligned to recurring and ad hoc milestones; ensuring stakeholders execute appropriately and meet milestones on time; tracking, escalating, and/or remediating risks and issues; and developing and executing executive-level reporting.

This role is a key member of a first line risk and controls leadership team dedicated to the Technology transformation program. You will work with other ITA team members to design, implement, and assess key risk and control elements included in the technology tranformation projects. The team is responsible for advising and assessing the technology risk and control environment incorporated into tech projects, identifying improvement opportunities, reporting and monitoring key risk metrics, and providing governance with respect to all risk and control matters.

RESPONSIBILITIES

• Drive implementation and sustainment of information technology and information security control framework
• Evaluate and benchmark technology process execution against outstanding standards. (COBIT, NIST 800-53, FFIEC etc.)
• Manage the execution of front line controls self-assurance and risk assessment activities (ad hoc controls review, BPM, RCSA) and support independent risk and audit activities as needed
• Provide consult on controls design and efficiency to technology partners in support their commitments to align with all applicable laws, regulations, and internal policies and procedures
• You will drive risk culture; influence self-identification and disclosure of control self-assurance gaps. 
• Ensure gaps are addressed via remediation plans that adhere to issues management mandates; timely issue and corrective action submission, accurate root cause identification, corrective action monitoring, on time closure, no failed validations, and no repeat issue
• Monitor and evaluate emerging risk, internal operational trends, and external risk events for potential impact to control environment
• Prepare risk analysis and risk mitigation recommendations
• Support technology risk governance by ensuring our control environment performance is reported and has risk management plans in place for critical issues
• Support the preparation of risk and controls governance materials as needed.
• Design and lead implementation of key controls, industry standards, policies, and/or procedures within the transformation technology environment
• Lead assessment of risk and control alignment with specific technology control frameworks and the internal risk, threat, and control library
• Partner with transformation to continuously improve the overall risk posture of delivered features, functions, and capabilities
• Participate in the development, design, and implementation of control testing and risk monitoring programs
• Collaborate with business partners to facilitate remediation of identified risk and control issues
• Engage with multiple stakeholders and collaborate with key business partners, risk management, and internal audit

QUALIFICATIONS

• Undergraduate degree plus 15 years in technology, information security, operational risk management, or related roles
• 10+ years of direct Regulatory and Audit experience preferred, or experience managing large scale regulatory remediation and/or transformation initiatives for a large financial institution.
• 10+ years of experience 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, or other highly regulated environment.
• Deep working experience with regulations applicable to the banking and finance industry required
• Deep understanding of financial institution processes, products, and risk
• Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management, and incident response
• Preferred: "Big Four" IT audit experience
• Preferred: experience in a project management role
• Experience with critical data elements (CDEs) and data lineage
• Understanding of data quality, data quality monitoring, and data maturity models
• Knowledge and implementation experience with industry best practices and frameworks such as: Committee of Sponsoring Organizations of the Treadway Commission (COSO), COBIT, National Institute of Standards and Technology (NIST)-800-53, Cybersecurity Horizontal Reviews, and ITIL in complex environment
• Knowledge of critical domestic and international banking regulations (Reg W, Basel II, Federal Financial Institutions Examination Council (FFIEC), General Data Protection Regulation (GDPR), etc.) and experience with enforcement agencies oversight activities (regulatory examinations, matters requiring attention (MRAs), consent orders, etc.) within a global systemically important financial institution's information technology and information security environments
• Experience with executing technology and/or information security risk assessment/testing methodologies, evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinations
• Experience with process documentation, risk and control assessments, and designing/executing IT General Controls (ITGC) test scripts
• Understanding of the regulatory environment and regulations related to technology risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations
• Combined experience in IT external audit, IT internal audit, and technology risk and/or ITGC assessment for compliance with Sarbanes-Oxley (SOX)
• Excellent communication, presentation, and influencing skills, and ability to manage stakeholders across multiple disciplines
• Excellent analytical, organizational, and conceptual skills
• Ability to work effectively in team environment, and influence across all interpersonal levels, where flexibility, collaboration, adaptability, challenge, and influence are important
• Strong planning and organizing skills; ability to multitask and deal with varied workload
• Ability to demonstrate an analytical approach to problem solving. Identify, analyze and apply/recommend practical solutions
• 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
• Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions, with and without technology
• 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 work ethic, ability to make decisions, and work under tight deadlines; achievement-oriented and takes initiative
• Experience with executing technology and/or information security risk assessment/testing methodologies, evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinations
• Understanding of risk management, including experience executing risk assessments, testing and evaluating processes and controls
• Strong project management skills; includes an ability to independently drive work, and pragmatically solve problems
• Experience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, structured query language (SQL), Access, etc.)
• Prior supervisory and or management role with a focus on talent development.
• Experience in creation and review of work papers to document testing and/or issue closure and  experience in the management of regulatory matters

• Experience with automating and/or the ability to conceptualize automated control solutions

• Strong and diverse modern technology background and experience across diverse domains, illustrating the ability to drive transformation outcomes with specific focus on how to ‘enable’ them in a highly regulated enterprise industry context including:

o              Expertise with Cloud Service Providers (CSP) such as AWS and the cloud-based products, services and capabilities

o              Conceptual / working understanding of scripting languages such as Bash, Ruby, Perl and Python

o              Conceptual / working understanding with continuous integration and continuous deployment (CI/CD) concepts, tools, and technologies including code repositories (e.g. Git), Jenkins and Maven

o              Conceptual / working understanding of infrastructure orchestration, service registry/discovery, and configuration management tools, (e.g., CloudFormation, Terraform, Ansible/Puppet)

o              Conceptual / working understanding of software containerization platforms/container orchestration tools such as Docker, Kubernetes, AWS Elastic Kubernetes Service (EKS) and Red Hat OpenShift

o              Conceptual / working understanding of modern master data management, big data platforms, data streaming, analytics and reporting solutions (e.g., AWS Elastic Map Reduce (EMR))

• Experience with information security risks, regulations or regulatory bodies, and security program frameworks, including COSO, COBIT, FFIEC, NIST, AWS well-architected, and ITIL
• Deep understanding of information security best practices and implementation of security principles across global organizations, to meet business goals and legal/regulatory requirements
• Knowledge of current and emerging cloud security trends, “as a Service” security and architecture concepts, including network segmentation, perimeter security, event monitoring; and remediation methods to bring cloud infrastructures into compliance for security compliance
• Experience in working in an agile, scrum, or DevSecOps methodology including the Atlassian stack (Jira/Confluence) is preferred

The typical base pay range for this role is between $160K - $211K 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.