Analyst, Senior Auditor (Primary Business Risk and Compliance) Analyst, Senior Auditor (Primary Business Risk and  …

in London, United Kingdom
Permanent, Full time
Last application, 28 Sep 20
in London, United Kingdom
Permanent, Full time
Last application, 28 Sep 20
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.


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.






Senior Auditors are responsible for the execution of audit engagements, working within audit teams on the delivery of audit engagements.  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 Senior Auditor will include:

Undertaking effective ongoing monitoring of the primary business areas, credit risk and other risk exposures, and compliance in the EMEA portfolio to assist the monitoring officer, highlighting key risk issues to business and EIACE management.

  • On occasion, assist in aspects of the maintenance of the risk universe, risk assessments and audit plans where required.
  • May be set appropriate continuous monitoring assignments by the Head of Audit.
  • Build and maintain constructive relationships with key stakeholders and auditees within their engagements.
  • Execute and deliver aspects of audit engagements to the required methodology standard.
  • Apply audit methodology to all work performed, seeking guidance as required.
  • Understand and develop knowledge of the primary businesses (Corporate and Investment Banking, Japanese Corporate Banking, ETBO, MUSE (the securities business) amongst others), risk (including credit) and compliance
  • Develop an appreciation of risk and control more generally in banking.
  • On occasions, be required to work on team initiatives.

Direct Reports:

  • N/A.




  • Experience of working in a risk management/compliance or Audit function within the Financial Services sector.


  • Experience of working in a similar audit function for a major corporate/investment bank.




Functional / Technical Competencies:


  • Knowledge of auditing methods and industry practices.
  • An understanding of banking and financial services is required.
  • Knowledge of corporate and investment banking, compliance and other risks.


  • Strong acumen regarding auditing methods and industry practises is preferred.


Education / Qualifications:


  • Higher education or equivalent industry experience.


  • Relevant industry qualifications e.g. CIA, ACCA are desirable but not essential.
  • Project Management qualification.



  • 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
  • Excellent interpersonal skills
  • The ability to manage large workloads and tight deadlines
  • Excellent attention to detail and accuracy
  • A calm approach, with the ability to perform well in a pressurised environment
  • Strong numerical skills
  • Excellent Microsoft Office skills

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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