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Associate, Operational Risk Management - Markets

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  • Requisition # 35178
  • Job Type Day
  • Location New York, NEW YORK
  • Date Posted 08/12/2020

Your potential. Your opportunity.

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.

Job Summary:

MUFG Securities Americas Inc. (MUSA) is seeking an experience individual to support the growing Operational Risk Management (ORM) team. The Associate will be responsible for support firm-wide operational risk management programs including Issue Management and New Business assessments. The ORM Associate will help advance risk management- related projects within operational risk and work in close collaboration with business-aligned risk managers, business leaders and other subject matter experts across the organization.


  • Manage relationships with the Front Office and Control Functions and liaise with counterparts in Canada, New York, California, London, Hong Kong and Japan.

  • Provide independent assessment and monitoring of MUSA Operational Risk profile, through:

    • Incident management and post incident reviews

    • Review and management of KRIs, KPIs and KCIs

    • Tracking of progress with remediation actions

    • Monitoring of key controls

    • ORM reporting to senior management and other stakeholder

    • Contribute to Risk Assessment workshops  

    • Facilitation and documentation of Scenario Analysis workshops

    • Managing external incident data

  • Support all ORM initiates (both new and ongoing), including Third-Party Risk Management, Issue Management, New Product, Trading Platform, etc.

  • Facilitate, coordinate and review risk documentation (policy and procedures, etc.).

  • Assist leadership in implementation of ORM initiatives in various stages to business-as-usual (“BAU”).

  • Assist in providing governance and oversight for policies under BAU environment.

  • Assist in performing the on-going functions of a second line ORM programs of various regulatory requirements.

  • Support the entity’s policy and governance agenda:

    • Review policies for consistency and applicability to MUSA specifically.

    • Review policies for applicability to regulatory and external stakeholder expectation.

    • Draft and edit MUSA specific policies as needed.

  • Facilitate and coordinate production and review of monthly and quarterly committee reporting and presentations.

  • Prepare presentation materials for the firm’s various Risk Governance Committees, working groups, and meetings..

  • Facilitate ORM responses to Audit and other internal and external request.

  • Being a contributing team player in an evolving operational risk management environment, incorporating a positive and flexible approach.

  • Participating in ad hoc special projects and initiatives as needed.

  • Assist in researching and preparing ad-hoc management projects and requests.

  • Bachelor’s degree.
  • A minimum of 3 to 5 years of Operational Risk or Audit experience in finance industry.

  • Proactive and self-driven individual who takes ownership.

  • Strong understanding of the regulatory environment.

  • Familiarity with trading markets and securities along with risk management processes.

  • Proven ability to manage multiple priorities, deadlines and other time sensitive deliverables.

  • Strong team player who is comfortable working collaboratively and independently.

  • Well organized, with solid decision making skills and a sharp eye for detail.

  • Strong communication skills and ability to liaise with all levels of management.

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.

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