Technology Risk Management - Control Officer; VP

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.

RESPONSIBILITIES

• Assessment of processes, risks, and control environment.
• Issue Management lifecycle reporting
• Specific BAU responsibilities will include working collaboratively with the businesses as a BURM team representative to execute the following:
• Issue Identification:
  • Partner with business to proactively identify MSIs and appropriately document SLoD and TLoD identified issues, using the appropriate templates and coordinating with impacted stakeholders to document accurate root causes and seek required approvals for issues to be submitted through issue intake and pass tollgate for issue documentation in Open Pages. 
• MAP development:
  • Work with other BURM teams and BURCO validation teams to challenge any potential issues and participate in issue identification and development once they are recognized and agreed as issues
  • Review, challenge, and participate in issues’ MAP development to ensure MAPs can address the control deficiencies and symptoms pointed out in the issue, including building out a sustainable and repeatable process
• Issue validation:
  • Perform first line validation of issues including MSIs, SLoD, TLoD, and regulatory issues
  • Review, challenge, and participate in issue lifecycle validation with BURMs’ teams to ensure issue packages are completed properly prior to being presented at tollgates (review and challenge) meetings
• Reporting and QA support:
  • Support management to generate various metrics/ reports for senior management and board level committees
  • Maintain standard IM templates
  • Provide QA and reports on OpenPages issues
• Stakeholder engagement:
  • Engaged with Operations & Technology key stakeholders, management, BURMs, SLoD, and TLoD to ensure risks are understood across all LoDs and risk treatment is properly identified and remediated
  • Manage issues tollgate process:
  • Review issue intake submissions for tollgates (review and challenge), provide feedback on issue packages (new issues, MAPs, closures packages, risk acceptances), ensure requirements are met, and that follow-ups are acted on and completed
• Additional non-project responsibilities will include working collaboratively with the business units and their risk teams to execute the following:
  • Support management to generate various metrics reports for senior management and board level committees
  • Maintain standard issues management (IM) templates
  • Provide quality assurance (QA) and reports on OpenPages issues
  • Engage with key stakeholders, management, BURMs, SLoD, and TLoD to ensure risks are understood across all lines of defense (LoD) and risk treatment is properly identified

Management or Supervision:

• No

FOUNDATIONAL SKILLS

• Communicates effectively Identifies multiple paths to success through the development of analytical, critical thinking, and decision-making skills
• Exercises sound judgement and strive for continuous improvement
• Demonstrates optimism, resilience, flexibility, and openness to others' ideas
• Learn while doing
• Actively listens and asks thoughtful questions
• Leverages available technology to achieve efficiency and results
• Engages inclusively and with intent
• Always act with integrity
• Iterative problem-solving
• Serving as a trusted advisor
• Excellent communication, presentation, and influencing skills and ability to manage stakeholders across multiple disciplines and strong written skills
• Excellent analytical, organizational, and conceptual skills
• 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

PROFESSIONAL CERTIFICATIONS

• Certified Information Systems Auditor (CISA)
• Certified in Risk and Information Systems Control (CRISC)
• Certified Information Systems Security Professional (CISSP)
• AWS/Azure Certified Cloud Practitioner

REQUIRED QUALIFICATIONS

• Bachelor’s degree is required in technology, engineering, risk management, computer science, information systems, or equivalent field.
• Experience with key risks associated with Application Development (System Development Lifecycle) Dev/Sec/Ops, deployment pipeline, and cloud architecture.
• Demonstrated experience in ITIL Foundation
• Demonstrated experience with Risk and Control design and assessments.
• 2-4 years’ experience in Application Development (SDLC), risk & control or audit function

WORK EXPERIENCE

• Experience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools preferred
• Experience with key risks associated with Application Development (SDLC) Dev/Sec/Ops, deployment pipeline, and cloud architecture.
• Skilled experience with performing, defining, refining and documenting processes necessary to produce accurate periodic reporting (e.g., data reconciliations, data governance, review, and approval, etc.)
• Experience relating to industry’s best practices and frameworks such as: Committee of Sponsoring Organizations of the Treadway Commission (COSO), COBIT, National Institute of Standards and Technology (NIST) CSF and 800-53, Cybersecurity Horizontal Reviews, and ITIL in complex environment
• Experience related risk assessment/testing methodologies evaluating the adequacy and efficiency of internal controls, and identifying issues resulting from internal and external compliance examinations
• Experience evaluating process documentation, risk, and control assessments and designing/executing test scripts
• Previous experience in a risk and control or audit function
•  Understanding of risks and controls, issue management, reporting, metrics, and audits
• Experience with problem solving in a team environment by utilizing critical and creative thinking skills, providing innovative solutions, with and without technology
• Experience using Microsoft collaboration and project management tools such as SharePoint, Teams, and Project
• Experience using Microsoft CoPilot to automate and drive efficiencies and simplification of repetitive tasks.
• Knowledge of financial institution businesses, processes, products, and risk preferred

FUNCTIONAL SKILLS

•  Risk management exposure including evaluating the adequacy and efficiency of internal controls, and identifying issues
•  Exposure to enforcement agencies and oversight activities (regulatory examinations, etc.)
•  Knowledge of critical domestic and international banking regulations (Reg W, Basel II, Federal Financial Institutions Examination Council (FFIEC), General Data Protection Regulation (GDPR), etc.)
• Understanding of the regulatory environment and regulations related to risk, Office of the Comptroller of the Currency (OCC), and Federal Reserve Board (FRB) expectations
• Understanding of application development, secure by design, and system development lifecycle (SDLC) practices and framework.

The typical base pay range for this role is between $125K - $160K 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.