Head of Sox and Internal Controls

6 maanden geleden

Amsterdam, Nederland MUFG Voltijd

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

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 160,000 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.

Would you like to work for one of the World's largest banks in an exciting, dynamic and international environment? 

We are currently recruiting for an Head of Sox and Internal Controls for our Finance Division in Amsterdam .

MUFG Bank Europe N.V. (MBE) is a fully-owned subsidiary of Mitsubishi UFJ Financial Group (MUFG), one of the largest ranked Financial Groups in the world in terms of assets. A world-class set of businesses and more than 180,000 employees in 50 markets. MUFG offers stability in an ever-changing market, providing services to high-profile clients worldwide.

For more than 50 years MBE offers corporate and investment banking services to both Japanese and non-Japanese corporate customers in The Netherlands and, through its branches. The goal is to be among the top performing foreign-owned banks operating in The Netherlands, providing value-added banking services and excellent operations, fulfilling both Japanese and Global Multinational Corporate customers' needs.

At MBE we are committed to contributing to a more sustainable future. Thus, we will encourage you to embed environmental, social & governance (ESG) factors in your everyday work and in our culture.

The MBE subsidiary based in The Netherlands is a network of branches (Germany Branch (Dusseldorf, Hamburg, Frankfurt, Munich), Spain Branch (Madrid, Barcelona), Belgium Branch (Brussels), Austria Branch (Vienna)), managed from Amsterdam.

Your impact at MUFG

The Head of SOX and Internal Control is instrumental in maintaining and developing the SOX framework across MBE as well as an ‘in-control’ mindset and mature process and control documentation within finance. The following main responsibilities fall into the domain of the role:

Maintenance and development of the SOX control framework for Group purposes (JGAAP/USGAAP scope) including related testing and reporting; Development and progress the maturity of the finance control framework and coordinate with responsible business owners the periodic (RSCA/Business process) update; Coordination with the external auditor in capacity of the Year-End audit, Sox Audit and related activities; Lead the set-up of enhanced (or new) controls for finance in strategic projects (such as system implementations, internal restructuring etc.);

Function positioning

The function forms part of MBE Finance Division (residing under the CFO) and is reporting directly into the Head of Finance. The role is part of the management team Core Finance which includes the direct reports of the Head of Finance.

MBE has multiple branches in EU countries and is part of the wider MUFG Group. As such there is significant interaction with colleagues in other countries such as Germany, United Kingdom and Tokyo. Especially across the EMEA region there is a close cooperation and significant interaction with the London based Head of Sox and his team.

Apart from colleagues within finance, for MBE the role has significant interaction with colleagues of Operational Risk Management, IT, Internal Audit and owners of (SOX) controls.

The role includes the following:

Coach, guide and develop the SOX and Internal Controls team for which you are (HR) hierarchically responsible. Foster a collaborate mindset within the team and help team members develop both technical knowledge as growth on ‘softer’ aspects Help other colleagues understand and develop their knowledge and mindset towards proper risk and controls. First point of contact for SOX related matters within MBE; Maintenance and development of the SOX control framework for Group purposes (JGAAP/USGAAP scope) including personal involvement in related testing (design and effectiveness) and reporting for Entity Level, Business, IT and financial controls; Perform QA review on SOX testing undertaken by Control Owners/Testers. Ensure all SOX tasks and year-end SOX attestation are completed on timely basis to support MUFG Group SOX compliance. If applicable for new processes in SOX scope, built upon the existing RSCA and coordinate with ORM the required update for SOX scope (create an end to end flowchart, review completeness of key risks & controls and ensure stakeholder sign-off). Definition and assessment of Local SOX Scope (i.e. professional judgement for deemed higher risk areas) and related testing of design and operating effectiveness. Secretary to the MBE Finance internal forum to evaluate risks of inaccurate financial reporting Managing external auditors for year-end audit and SOX audit, including attending walkthroughs. Support any request of external audit for non-audit services, involving assessment and alignment with external audit, parties in MBE and Head of Finance (where applicable) Coordinate with internal audit and if applicable manage any internal audit pertaining to the SOX team Coordinate with MBE IT in providing training and testing of End-user computing controls (on EUC files, (python) codes etc.) Development and progress the maturity of the finance control framework and coordinate with responsible business owners the periodic (RSCA/Business process) update; Lead the set-up of enhanced (or new) controls for finance in strategical projects (such as system implementations, internal restructuring etc.) Review and provide signoff from SOX ITGC perspective on IT projects and RPA (Robotic Process Automation) or (future) AI (artificial intelligence) which can have impact on MBE financial and/or regulatory reporting. Coordinate and inspect related results on MBE Finance outsourced activities including their periodic evaluation. Review the results (TOD, TOE) of respective controls at outsourced (internal/external) parties within the finance domain Lead the set-up of enhanced (or new) controls for finance in strategical projects (such as system implementations, internal restructuring etc.); Align efforts on control testing with second line (ORM) and together make sure control testing is covering appropriate scope and performed efficiently Conduct continuous on-going reviews of existing cycles, processes and controls to identify and recommend improvements to the process that would enhance operational efficiency and minimize issue/external audit findings. Assist and support business units in enhancing their process & controls in SOX scope where deficiencies and issues have been identified. Ensure compliance with the Bank’s policies, procedures and guidelines together with all relevant regulatory and statutory requirements where appropriate taking actions to protect the Bank’s business at all times.

In order to be successful in the role, you will need the following:

Skills and experience:

University degree complemented by a respective education in the field of control or audit such as a post master in domain of auditing and/or IT auditing (RA/ACCA/CISA etc.) Minimum 5-8 years of relevant experience working in the financial services industry or one of the big 4 (audit) firms conducting external/internal audits of the banking industry. Experience as a manager of a team. There should be affinity and experience with developments and risk and controls in the IT domain Experience with SOX/SEC audits and their requirements (IT/Business controls) Experience with GRC systems and in particular OpenPages would be considered a plus. Proficient in written and spoken English. Other languages like Dutch or Japanese would be considered a plus. The candidate should be an expert in Risk & business controls, particularly of main banking and treasury products and finance processes. The candidate should be able to work well in an environment which is challenging and requires to meet deadlines and manage people within the team and perform stakeholder management for different parts of MBE and the wider MUFG organization. Experience with applications for flowcharting would be a plus Travel to other locations (such as Germany and United Kingdom) is occasionally required (0%-10%) MBE has a hybrid working policy with around 2-3 days in office and 2-3 days working from home (for a 5-days work week)

Personal requirements:

Integrity and Responsibility

Balance Risk with Opportunity Customer Focus Demonstrate Global Perspective

Professionalism and Teamwork

Drive For Results Collaborate and Build Partnerships Communicate Effectively and Professionally

Challenge Ourselves To Grow

Influence and Inspire Others Lead Change & Seek Continuous Improvement Think Strategically Manage and Develop Talent

What do we have to offer:

We offer you a role in one of the largest banks of the world in a growing and international environment. You have various opportunities to develop yourself and we will support you with that by offering various training and development possibilities.

We take into account your home situation and your ambitions and help you to balance work and private life. Monthly team events. To work in an ambitious, international environment with colleagues from different countries and cultures, who strive for the best.

Besides that we will offer you:

Gross salary based on experience and consistent with the market 8% holiday allowance and 13th month payment. 30 vacation days per year. Optional you can buy 15 additional days. Commuting allowance based on annual public transport 2nd class, most economical way, or € 0,23 per km with a max of 75km one way. €5,00 net remote working compensation per day, with a maximum of €60,00 per month. Possibility to order a mobile phone (up to €800,-) Possibility to order Office Equipment’s for the home office, (up to €500,-) Remote Working Policy i.e. Working From Home (WFH) and Remote Working in another Country. Bicycle plan (fiscal benefit) Company fitness (fiscal benefit) Mental health workshops and budget for external courses (i.e. Dutch language classes). Employee contribution towards Pension insurance (max 5%, currently 2%), our pension scheme is based on a defined contribution scheme. Training & development possibilities paid by the bank Health insurance: Collective premiums offered, for own expense.

Additional information :

Acquisition in response to this vacancy is not appreciated.

The role is based in the Netherlands. All candidates need to be willing to relocate to the Netherlands. Internal employees will be supported in case of relocation.

For more information regarding this position you can contact our Talent Acquisition Specialist at: p

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.

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