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Issues & Findings Management, VP

Company: MUFG
Location: Charlotte
Posted on: November 26, 2022

Job Description:

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. Across the globe, we're 180,000 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.This is a hybrid position. The selected colleague will work at an MUFG office an average of two to three days per week with the remainder worked remotely.Summary:In this role you will focus on internal and external compliance requirements, activities, and deliverables to ensure that Operations & Technology meets regulatory and audit milestones. Responsibilities include engaging with regulators and/or leaders from other functions, including audit and compliance, and collaborating with 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 team aligned to a specific technology business. This individual works with other team members to partner with operations and technology teams to drive effective risk and control management. The teams are responsible for assessing the operations and technology risk and control environment, identifying improvement opportunities, reporting and monitoring key risk metrics and providing governance with respect to all risk and control matters.Specific responsibilities will include working collaboratively with the business units and their risk teams to execute the following:Work with Business Unit Risk Managers' (BURMs') teams to challenge any potential issues and participate in issue development once they are recognized and agreed as issuesPartner with BURMs' teams to get new issues ready for the tollgate processReview, challenge, and participate in issues' management action plans (MAPs) development to ensure MAPs can address the control deficiencies and symptoms pointed out in the issue including building out a sustainable and repeatable processValidate issues including management self-identified (MSIs), SLoD, Internal Audit / Third Line of Defense (TLoD), and regulatory issuesWork with BURMs' teams to ensure new and closure issue packages are completed properly prior to being presented at tollgates (review & challenge) meetingsSupport management to generate various metrics reports for senior management and board level committeesMaintain standard issue management (IM) templates and review as directedProvide periodic IM related trainingProvide quality assurance (QA) and reports on OpenPages issuesEngage with key stakeholders, management, BURMs, SLoD, and TLoD to ensure risks are understood across all Lines of Defense (LoDs) and risk treatment is properly identifiedReview issue intake submissions for tollgates (review & challenge), prepare issue package (new, closures, risk acceptances), and ensure requirements are met, and that follow-ups are acted on, completed, and resolvedQualifications:Bachelor's degree in technology, engineering, risk management, computer science, information systems, or equivalent field.Preferred: degree from a competitive school, demonstrating a strong academic and extracurricular track recordPreferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM), or Certified in Risk and Information Systems Control (CRISC)Other preferred certificates: risk management, information security, and/or technology certifications desired, but not required. (Certified in Governance of Enterprise Information Technology (CGEIT), Cybersecurity Fundamentals (CSX), Certified Information Systems Security Professional (CISSP), Information Technology Infrastructure Library (ITIL), Control Objectives for Information and Related Technology (COBIT), etc.)6-8 years of technology, risk, and control experience6-8 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 thereofDeep understanding of financial institution processes, products, and riskPrior supervisory and/or management role with a focus on talent developmentStrong understanding of governance and oversight best practices, ideally with experience implementing and/or managing governance processesKnowledge of critical domestic and international banking regulationsExperience with enforcement agencies oversight activities (regulatory examinations, matters requiring attention (MRAs), consent orders, etc.) within global systemically important financial institutions' information technology and information security environmentsUnderstanding of information security risk assessment/testing methodologies evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinationsAdvance level of proficiency using Microsoft Excel to organize and analyze data, produce management reporting and dashboards, and prototype strategic solutions is criticalExperience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, structured query language (SQL), Access etc.)Experience developing and communicating key messages to senior managers and regulatorsStrong planning and organizing skills and the ability to multitask across a varied workloadPreferred: experience in a financial institution, "Big 4" audit, or other highly regulated environmentKnowledge of information technology risk and process frameworks, including Committee of Sponsoring Organizations of the Treadway Commission (COSO), COBIT, National Institute of Standards and Technology (NIST), Cybersecurity Horizontal Reviews, and ITILKnowledge of consumer banking, consumer lending, capital markets, commercial loans, trade services, and payment operations, etc.Familiarity with U.S. regulatory, compliance, and governanceUnderstanding of risk management, including experience executing risk assessments, testing and evaluating processes and controlsStrong project management skills; includes an ability to independently drive work, and pragmatically solve problemsKnowledge 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 global systemically important financial institutions' information technology and information security environmentsExperience 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 examinationsExperience with automating and/or the ability to conceptualize automated control solutions is highly desiredExperience with risk metrics definition and reporting/scorecard development, utilizing key risk metrics tools (IBM Open Pages, Tableau, structured query language (SQL), Access etc.)Strong planning and organizing skills; ability to multitask and deal with varied workloadUnderstanding of risk management, including experience executing risk assessments, testing, and evaluating processes and controlsPrior supervisory and or management role with a focus on talent developmentPrior experience working at a regulatory agency is a plusExperience with managing resources effectively to execute required functionsOutstanding communication skills; able to foster close and collaborative productive working relationships across the organizationStrong work ethic, ability to make decisions and work under tight deadlines; achievement-oriented and takes initiativeAmbitious and hardworkingAbility to work effectively in team environment and influence across all interpersonal levels, where flexibility, collaboration, adaptability, challenge, and influence are importantAbility to demonstrate an analytical approach to problem solvingAbility to identify, analyze, and apply/recommend practical solutions, highly desired#LI-HybridThe 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 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.#LI-Hybrid

Keywords: MUFG, Kannapolis , Issues & Findings Management, VP, Executive , Charlotte, North Carolina

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