Manager – Core Compliance Testing & Monitoring

Responsibilities

• Execute assigned regional testing and monitoring activities to evaluate control effectiveness
• Lead walkthrough meetings and interviews with business stakeholders to understand processes, risks, and controls
• Identify potential risks and assist in developing testing scopes and work programs
• Evaluate the design and operational effectiveness of internal controls and identify weaknesses
• Generate insightful observations regarding risk management practices and report findings to management
• Prepare detailed workpapers and review reports that adhere to methodology and regulatory requirements
• Deploy data analytics and user tools to enhance the efficiency and quality of reviews

Requirements

• Bachelor's degree in Accountancy, Business, Law, or Finance
• Minimum 10 years of experience in Compliance Assurance, Internal Audit, or Controls testing
• At least 5 years of experience within a Banking or Financial Institution
• Strong analytical, problem-solving, and critical thinking skills
• Proficiency in MS Office and data analytics tools
• Excellent verbal and written communication, negotiation, and presentation skills
• Ability to travel as required

Preferred Qualifications

• Experience reviewing Investment/Corporate Banking and Global Markets business
• Knowledge of banking regulations such as MNPI, Conflicts, Customer Tax, Market Abuse, and Market Conduct
• Proficiency in one or more Asian languages (e.g., Japanese, Bahasa, Korean, or Chinese)
• Advanced data analytics skillsets, such as Alteryx or programming knowledge
• Relevant professional certifications such as Chartered Accountant, CIA, or CFA

About the Company

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups, comprising 150,000 colleagues globally. We are committed to building long-term relationships, serving society, and fostering sustainable growth. At MUFG, we prioritize a culture that puts people first, encourages diverse ideas, and invests in the talent and technology needed to empower our employees.