Horizontal Control Program (HCP) Execution Support, Testing, Monitoring & Analysis, Associate/AVP

  • MUFG,
  • Charlotte, NC
  • 1 hour ago
Lifecycle, Change Management, Testing, Analysis, Excel, SQL, Python, VBA
Full Time

Job Description

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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020). In the Americas, we're 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed, and agility. We're a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.


The Control Framework Standards and Monitoring (CFSM) Program within the Central Risk and Control Office (CRCO) is being implemented to drive the timely, sustainable and effective first line of defense (FLoD) execution of risk management frameworks defined by the second line of defense (SLoD), and drive toward effective internal controls through the following objectives:
  • Develop, maintain and oversee execution standards for the FLoD control framework, to include FLoD Control Lifecycle Requirements (such as testing, monitoring, reporting and governance)
  • Enhance aggregated reporting and governance to increase the transparency of the control environment across FLoD, to include development and ongoing maintenance and reporting of quantitative metrics to measure FLoD effective implementation of SLoD risk management frameworks
  • Develop and oversee standards for FLoD Horizontal Control Programs (HCPs) (including Change Management, Fraud, Information Risk, Products & Services and Data) to include:
    • HCP Owner role and responsibilities
    • HCP implementation of minimum Control Lifecycle Requirements
    • HCP Action Plans in alignment with CRCO/CFSM requirements and execution
  • Enhance identification, oversight and escalation of risks and state of the first line control environment
  • Promote quality FLoD and SLoD interaction to enhance FLoD control execution and of SLoD risk frameworks
  • Establish a process to track and report on risk policy implementation within the FLoD
  • Implement and manage the Americas Enterprise Control Taxonomy (AECT)

Job Summary:

The position of Associate Vice President - Horizontal Control Program (HCP) Execution Support, Testing, Monitoring and Analysis will support CFSM through the following key responsibilities:
  • Monitor and oversee FLoD HCP execution of control lifecycle requirements
  • Conduct validation and testing of execution of control lifecycle requirements by HCPs
  • Analyze and oversee aggregated first line of defense risk

Major Responsibilities:
  • Support the implementation and ongoing oversight of validation/testing of adherence to control lifecycle requirements, including:
    • Assisting in the development and maintenance of the annual testing/validation plan
    • Identifying issues and themes from results of testing/validation, and reporting and escalating, as necessary
    • Developing and maintaining an aggregated audit / exam calendar and supporting other coordination / project management related activities
  • Support the ongoing monitoring of the risk and control environment in the FLoD HCPs, including:
    • KRI, risk trigger, and incident monitoring
    • Issue analysis
    • Risk and control analysis
  • Support oversight of control lifecycle requirement implementation by HCPs, including:
    • Monitoring and assessing implementation and effectiveness of control lifecycle requirements
    • Identifying gaps, issues, and other deficiencies in the implementation of the control lifecycle requirements, reviewing action plans for remediation of gaps, and tracking action plans for closure of gaps
    • Reporting and escalating any gaps/issues identified to the appropriate governance forums and teams, as necessary.
  • Develop and maintain strategic partnerships with risk and control teams, business units, control programs, and second line of defense partners, as well as other risk management functions throughout the organization


  • A BA/BS degree from a 4-year college
  • 2-5 years of banking or financial services industry experience
  • Strong proficiency in MS Office, including Excel and Power Point, is critical
  • Strong understanding or experience conducting data analysis, using presentation applications (e.g., Tableau), working with query languages (SQL), programming/scripting languages (R, Python, VBA), and/or process design applications (e.g., Visio)
  • Experience in testing, monitoring, and analysis related to financial services risk and control environments
  • Familiarity with technology concepts including system architecture and design, as well as data management preferred.
  • Ability to communicate professionally and effectively in writing and verbally with all levels
  • Excellent critical thinking, analytical and problem-solving skills, and attention to detail
  • Ability to quickly build rapport, credibility, trust, and respect, and be viewed as a standout colleague
  • Ability and experience supporting meetings, by phone, in person, video, etc.

Join us as we evolve our organization to become

more agile, innovative and inclusive!

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.
Dice Id : appblok
Position Id : 12305_10043003-WD
Originally Posted : 3 months ago
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