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Junior Associate Director, Controls, Business Operations Controls at MUFGInvestorServices
MUFGInvestorServicesHalifax, NS, ca·2h ago
SeniorFull-time
Salary Range
$43,095 - $58,305 /year
This salary is estimated based on similar roles. The actual salary may vary.
About the Role
This role will support the Business Operations Controls Function in managing the MUFG SOC1 audit and implementing the Business Operations Control framework. The position involves identifying areas of risk, analyzing operational incidents, and supporting the Controls team in managing operational risk and internal controls.
Key Responsibilities
- →Assist with implementation of the Control framework and perform ongoing review of its effectiveness in identifying, reducing, controlling, and reporting key risks
- →Work to identify and address areas of risk within the business through Operational Incidents Review and Data Analysis
- →Administer and manage the Company’s efforts, including control definition, risk assessment, and testing of key internal controls for the SOC 1 program
- →Facilitate process walkthroughs and coordinate testing plans and results with external auditors
- →Resolve exceptions and findings identified by external auditors and drive controls and risk remediation plans
- →Assist in preparing descriptions of the control environment, control activities, risk assessment, monitoring, and information and communication processes for review by external auditors
- →Ensure timely completion of the attestation engagement by coordinating with key stakeholders
- →Assist in the management of MUFG’s Policies & Procedures Program and in-house Database (SOPS)
- →Work with the business to identify new areas of scope and manage integration into future SOC 1
- →Collaborate with Controls, Project Management Office, and Risk functions on key initiatives
Requirements
- ✓Experience in project management and delivery of SOC1 audits
- ✓Strong understanding of internal controls and risk assessment
- ✓Ability to perform data analysis and identify trends or areas of concern
- ✓Knowledge of the COSO framework and control objectives
- ✓Experience with operational risk management and incident review
- ✓Excellent coordination and communication skills
- ✓Ability to work with external auditors and manage audit expectations
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