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Job Details

SOX IT and App Control Manager Vice President

Company name
Mitsubishi UFJ Financial Group, Inc

New York City, NY

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SOX IT and App Control Manager, Vice President','10019865-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 Summary:

The CAA IT Controls Manager reports directly to the CAA IT Director. The position is responsible for documenting and executing the program plan for Internal Controls over Financial Reporting (ICFR) and for Internal Controls for Regulatory Reporting (ICRR) for the Controller and Tax Services (CTS) Department – specifically Information Technology General Controls (ITGCs) and application automated controls. The position also is responsible for overseeing the proper documentation of testing workpapers (OpenPages module) for ICFR and ICRR controls, and its utilization by the various stakeholders and the CAA department. The position works with control owner contacts to document the controls, provides general oversight of all test work and evaluates the effectiveness of controls.

The CAA IT Controls Manager is responsible for supervising and overseeing multiple third-party testers, and reviewing/evaluating testers' work and documentation. The CAA IT Controls Manager is a liaison with Information Technology and other Business Units regarding controls documentation and testing. The position has responsibility to ensure that the OpenPages SOX module is effectively managed and utilized.

Major Responsibilities: 

Participates in determining the scope for SOX ITGC scope.

Determines approach for testing and review with stakeholders (including external auditors) to obtain feedback and concurrence.

Updates and/or creates policies and procedures for SOX framework for IT controls.

Reviews reports issued by Internal Audit and assess impact to ICFR and ICRR.

Supervises and manages controls testing.

Assigns controls testing to third party testers.

Monitors status.

Reviews and approves testers' documentation.

Summarizes ineffective controls.

Develops criteria and facilitates training sessions for external testers.

Prepares status reports to be incorporated into presentations for Financial Controls Committee, Disclosure & Accounting Committee and Audit & Finance Committee meetings.','!*!The ideal candidate will have all or most of the following skills and work experience with: 

Designing and executing ITGC approach for controls assessment.

Technology audit and IT SOX testing.

IT Risk and controls self-assessment.

Identity and access management.

Interacting with Internal and external auditors.

Supervising and coaching junior team members.

Partnering with technology and business teams to understand complex issues and collaborate towards resolution of the same.

Technology testing teams on an oversight capacity to help testers evaluate and draft issue findings and root causes. Also experienced working with technology and business teams to agree on remediation plans and target dates for identified deficiencies resulting from controls design evaluation and operational effectiveness testing. Be able to lead issue closure validation testing and conclude on closure or re-opening of deficiencies.

Experience working with both applications and infrastructure supporting financial reporting processes.

Prior experience reviewing and evaluations SOC reports.

Collaborative approach for working with other business units while being comfortable working in fast-paced environment.

Ability to multi-task effectively.

Presentation skills – written and verbal.

Ability to work with all levels – management and non-management.

Working knowledge of MS Office applications; strong PowerPoint and MS Visio skills.

Ten years of experience in IT external audit, IT internal audit, and Technology Risk and / or ITGC assessment for compliance with SOX.

Bachelor's Degree in computer science and or technology management.

CISA, CISSP or similar certification desired.

Big Four experience and large banking experience desired.

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','','Mar 12, 2018','Day','Day','Full Time','Full Time','SOX IT and App Control Manager, Vice President

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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