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Job Details

BSA/AML OFAC Audit Manager / VP

Company name
Mitsubishi UFJ Financial Group, Inc

New York City, NY

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BSA/AML OFAC Audit Manager / VP','10018908-WD','!*!Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world with total assets of over $2.4 trillion (as ranked by SNL Financial, April 2016) and 140,000 colleagues in nearly 50 countries. In the U.S., we’re 13,000 strong, working together to positively impact every customer, organization, and community we serve. We achieve this by delivering on our values, putting people first, fostering long-term relationships built on honesty and mutual understanding, and inspiring the best in each other. This is all part of our inclusive, high-performing culture supported by Total Rewards that include our cash balance pension plan. Join a team that’s working to fulfill its vision to be the world’s most trusted financial group.

Job Overview / Responsibilities:

Ensure bank compliance in the AML/OFAC area by conducting Audit reviews relevant BSA/AML/Sanctions related business processes and systems. 

Lead  AML/OFAC audit Team

Performing audit testing on OFAC Program with sanctions concerns.

Review of IT System involved in sanctions.

Recommending and following up with corrective actions with regard to such issue in the OFAC program

Liaising with business lines, audit relationship managers, other internal stakeholders, and with the auditees themselves regarding material sanctions concerns

Documenting the findings as appropriate

Support general audit activities across the organization and other duties, including special projects, as assigned

Design a plan to perform on a global level BSA/AML/Sanctions related audit.

Design a plan to perform a validation and end to end testing of the effectiveness of sanctions related system controls

Review Action Plans to address remediation efforts and effectiveness review findings

Stay abreast of data management, IT developments concerning BSA/AML/Sanctions, fraud schemes, and security issues

Support general compliance activities and other duties, including special projects as assigned','!*!

BA/BS Degree - ACAMS Preferred

At least 10 years of experience in an IT or Business auditing environment and knowledge of IT application and systems review

Advanced level of expertise with Microsoft Office Suite ( i.e. Excel, Access, PowerPoint and Word, VBA scripting)

Acceptable understanding of Screening Systems, (Actimize and or HotScan architecture experience and/or any other compliance systems)

Excellent judgment and analytical skills

Test steps creation and experience with scripting to support test automation is a plus.

Strong written communication skills 

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/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 in employment decisions on the basis of any protected category. 

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it’s the bank’s policy to only inquire into a candidate’s criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses. ','Finance','NEW YORK-New York','','Feb 12, 2018','Day','Day','Full Time','Full Time','BSA/AML OFAC Audit Manager / VP

Company info

Mitsubishi UFJ Financial Group, Inc
Website :

Company Profile
004 July Announced commencement of discussions on the integration of Mitsubishi Tokyo Financial Group ('MTFG') and UFJ Group August Reached basic agreement on integration September MTFG implemented capital enhancement of UFJ 2005 February Integration agreement signed Announced new company name, merger ratio, management philosophy, corporate identity, etc. April Merger agreement signed June Merger approved at shareholders' meetings October Creation of Mitsubishi UFJ Financial Group ('MUFG') Listing of MUFG on the Tokyo, Osaka, Nagoya, New York and London stock exchanges Creation of Mitsubishi UFJ Trust and Banking, Mitsubishi UFJ Securities UFJ Nicos created and became a consolidated subsidiary 2006 January Creation of Bank of Tokyo-Mitsubishi UFJ June Delisting of shares from the London Stock Exchange Completion of repayment of public funds through secondary offering, etc. 2007 April Creation of Mitsubishi UFJ Lease & Finance, Mitsubishi UFJ NICOS September MUFG made Mitsubishi UFJ Securities a wholly-owned subsidiary of MUFG. Investment Unit Reduction through Stock Split and Adoption of Unit Share System. 2008 November MUFG made UnionBancal Corporation a wholly-owned subsidiary of MUFG 2010 April Creation of Mitsubishi UFJ Securities Holdings May Creation of Mitsubishi UFJ Morgan Stanley Sec

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