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Assistant Vice President, Audit Manager (Finance, Treasury, Conduct & Compliance)

London, UK
Closing date
18 Jan 2021

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We are MUFG. 360 years of heritage. A world-class set of businesses. And more than 180,000 employees in 50 markets. It's no surprise that MUFG has grown to become one of the top five banks in the world. Our services include commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. MUFG offers stability in an ever-changing market, providing services to high-profile clients worldwide.

Our vision? To become the world's most trusted financial group. You'll help us achieve it.

Please visit our website for more information -

EMEA Internal Audit Office (EIAO), as the Bank's third Line of Defence, and in accordance with the Global Institute of Internal Auditors (IIA) International Standards (IIA Standards), provides independent assurance to the Board and Executive Management on the quality and effectiveness of governance, risk management and internal controls to monitor manage and mitigate key risks to achieving the Bank's objectives.




Audit Managers are responsible for the execution and delivery of audit engagements, working within audit teams on the continuous monitoring and scoping, planning and delivery of audit engagements, occasionally acting as audit lead. Delivery and execution of all engagements will adhere to audit methodology and include formal sign-offs of key documents and processes within an audit file.


Specifically, key responsibilities of the Audit Manager will include:
  • Assist the Head of Audit in aspects of the maintenance of the risk universe, risk assessments and audit plans where required.
  • Support Senior Audit Managers (SAM) on strategy and approach papers for entities and risks within their Head of Audit's portfolio.
  • Undertaking effective ongoing monitoring of Finance, conduct and core compliance activities, this will include developing an understanding of key processes, risk and controls, and regular assessments of changes in business risk profile.
  • Engage regularly with the stakeholders on regulatory changes and areas of regulatory focus.
  • Develop subject matter expertise and support wider function on risk assessments.
  • Build and maintain constructive relationships with key stakeholders and auditees within their audit engagements or areas of ongoing monitoring.
  • Execute and deliver aspects of audit engagements to the standards set by EIA audit methodology.
  • Assist in agreeing Management Action Plans and Issue follow-up with stakeholders, as directed.
  • Work collaboratively with all Internal Audit colleagues regionally and globally.
  • On occasions, be required to work on departmental and team initiatives.


  • Experience of working in IA function within the Financial Services sector or similar role in Big 4 firm.
  • Experience in auditing financial reporting and regulatory compliance driven audits eg SOX, LIBOR submissions, Transaction Reporting, CASS, Volcker rule, etc.
  • Good knowledge and understanding of Conduct risks and potential Conflicts of Interest arising in wholesale banking and securities business.

  • Use of data analytics to drive ongoing risk monitoring and perform audits.
  • Experience gained in first or second line to monitor regulatory compliance and market conduct risks.


Functional / Technical Competencies:

  • Good project management skills.
  • Ability to manage multiple assignments.
  • Knowledge of auditing methods and relevant industry practices.
  • Knowledge of corporate and investment banking business and relevant regulations.

  • Experience gained in the relevant first or second line of defense compliance function.
  • Understanding of Trade and communication surveillance practices.

Education / Qualifications:

  • Higher education or equivalent industry experience.

  • Relevant industry qualifications e.g. CIA, ACA, ACCA are desirable but not essential.

  • Excellent communication skills
  • Results driven, with a strong sense of accountability
  • A proactive, motivated approach.
  • The ability to operate with urgency and prioritise work accordingly
  • Strong decision making skills, the ability to demonstrate sound judgement
  • A structured and logical approach to work
  • Strong problem solving skills
  • A creative and innovative approach to work
  • The ability to manage large workloads and tight deadlines
  • Excellent attention to detail and accuracy
  • Strong numerical skills
  • A confident approach, with the ability to provide clear direction to the team members
  • A strategic approach, with the ability to lead and motivate the team

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.

We are open to considering flexible working requests in line with organisational requirements
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