Audit Support Analyst

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 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.

Overview of the Department/Section:

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG has a global network with 1,100 offices in over 40 countries. The Group has over 140,000 employees, offering services including corporate banking, commercial banking, retail banking, wealth management, investment banking, capital markets, personal and corporate trust, and transaction banking.

The Group’s operating companies include Bank of Tokyo-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking Corporation (Japan’s leading trust bank), and Mitsubishi UFJ Securities Holdings Co., Ltd., one of Japan’s largest securities firms.

MUFG conducts securities business internationally through its overseas subsidiaries MUFG Securities EMEA plc, MUFG Securities Americas Inc., MUFG Securities Asia Limited, and MUFG Securities Asia (Singapore) Limited. With each member of the group working in partnership with one another, MUFG provides best in class service and products to corporate and institutional clients.

MUFG Securities EMEA plc is the European hub of MUFG’s securities business. Headquartered in London we have just over 600 employees and are active throughout the international capital markets, focusing on debt, equity, derivatives and structured products. Due to the diverse nature of our business we require a clear unifying vision for all of our people. It is this vision and our corporate values that reflect who we are and guide how we behave. We therefore strive to recruit individuals who share our vision and values, and who have the motivation and commitment to help us move our business forward.

Main purpose of the role:

This role is to oversee the management of primarily Internal audits, alongside management the lifecycle of issues arising from these engagements. You will be required to help co-ordinate audit activities, assist technology teams in responding to audit requests and ensuring that information used to respond to audit queries is complete, accurate, and timely. You will be required to assess audit findings and work with stakeholders to ensure accuracy and relevance and risk assess any compensating control activities.

The role will sit across all internal audits for technology in the UK and also those audits conducted in the UK impacting EMEA branches.

Once an audit is complete and findings are raised you will assist technology teams to develop management action plans to ensure risks are mitigated and actions are sustainable and efficient.

Producing clear and informative communications and reporting to highlight the status of audits and issues.

Key responsibilities:

1. Audit Engagement: Oversee the smooth execution of internal audits, ensuring that the audit scope is clearly defined, roles and responsibilities are communicated effectively, and audit progresses according to plan.
2. Liaison with Technology Teams: Act as the primary point of contact between internal audit teams and technology teams, ensuring that audit requests are understood, roles are clarified, and the necessary information is provided in a timely manner.
3. Audit Issue Management: Track and report on the status of internal and external audit issues to ensure actions are on track.
4. Quality Assurance: Review and validate evidence related to issue closure of audit findings.
5. Stakeholder Advisory: Provide guidance to the technology on how to respond to audit findings, ensuring that action plans are appropriate to mitigate risks.
6. Process and Control Improvement: Identify opportunities for process and control improvements to improve efficiency, transparency, and effectiveness in audit processes.
7. Support for External Audits: You may also be asked to assist in supporting external audit activities, including gathering evidence and helping assess potential risks.

Main tasks:

• Liaise with internal and external audits and internal stakeholders to ensure audit processes are being followed and that audits are on schedule.
• Communicate with technology teams to ensure roles and responsibilities are clear and being followed.
• Assist technology teams in responding to audit queries and ensuring technology teams engage with audits appropriately and timely.
• Ensure audit requests are reasonable, understood, and prioritized by technology teams.
• Assist technology teams in reviewing findings, responding to audits, and where required defining action plans.
• Validate and QA actions and issues closure packs.
• Track and report on the status of action plans and issues closure.
• Develop ways to improve the efficiency of audits and issue management including the use of data analytics, AI, and process improvement.

Skills and experience:

• Strong technical background with 3+ years’ experience in technology/risk management/governance/internal/external audit.
• Understanding of SOX and external audit.
• Ability to make sense of complex situations and rapidly prioritize issues to take effective decisions in a commercial manner.
• Ability to manage multiple tasks to tight deadlines without sacrificing quality.
• Ability to build relationships and influence with stakeholders at all levels including senior internal and external audit management and technology management.
• Ability to communicate complex information to a variety of audiences.
• Ability to work on own without direction.
• Strong planning, communication (both written and oral), and presentation skills.
• Strong reporting and process skills to continually improve the effectiveness and efficiencies of our operating environment.
• Able to work in a cross-cultural and cross-functional environment.
• Ability to work with data, develop innovative solutions to reporting, and make better use of our available data resources to support risk management and assessment will be looked upon favourably.

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

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.