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Director Or Managing Director UK Head of Regulatory Reporting and Governance

3 months ago

London, Greater London, United Kingdom MUFG Bank, Ltd Full time

Director Or Managing Director UK Head of Regulatory Reporting and Governance page is loaded

Director Or Managing Director UK Head of Regulatory Reporting and Governance Apply locations London time type Full time posted on Posted 2 Days Ago job requisition id WD

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.

MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia.. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

As one of the top financial groups globally with a vision to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin everything that we do.We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

MUFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The group's operating companies include, but are not limited to, MUFG Bank, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.

Please visit our website for more information -

NUMBER OF DIRECT REPORTS

2 to 3 direct reports, with overall team size of c.15

MAIN PURPOSE OF THE ROLE

Specific Responsibilities

Regulatory Reporting

  • Delivery of accurate, timely and insightful regulatory reporting to the integrated Securities and Bank business in EMEA and the International Securities business to support executive decision making and to meet statutory and regulatory reporting requirements
  • Areas in scope for regulatory reporting will initially include Capital and Liquidity reporting, with other related outputs (e.g. Bank of England Statistics, PruVal) to be considered for transition into this new team as part of a broader review of our target operating model to be conducted by the successful candidate.
  • Delivery of timely and relevant metrics to track performance against key SLAs and other KPIs as specified by stakeholders and business process owners
  • Manage relationships with outsourced and/or offshore service providers, ensuring that delivery standards and formal SLAs are tracked and met
  • Assess related risks and drive the enhancement and effective operation of key controls across departmental processes
  • Represent the department on relevant committees and governance fora

Regulatory Governance and Change

  • Development of the firm wide regulatory reporting framework including the embedding of the Regulatory Returns Submission Policy, across both Finance and the broader organisation
  • Oversight and administration of the regulatory reporting framework and associated controls including, but not limited to, maintenance of the central regulatory reporting inventory and associated attestation processes
  • Develop and communicate a strategic roadmap for delivery of a regional regulatory reporting framework
  • Agree and implement organisational structure for effective management of regulatory change, where relevant to the Finance Division, including systems, processes and regulation horizon scanning
  • Lead in business analysis, user acceptance testing and implementation of strategic system implementations and other firm-wide projects relating to regulatory reporting

Management and oversight

  • Talent management to include recruitment, retention and development of staff to ensure individual and team performance in line with stakeholder expectations;
  • Maintaining and enhancing good working relationships with stakeholders, including business and control / infrastructure teams, auditors, regulators, local management and staff of the Finance function globally;
  • Leading projects and system enhancements as required, ensuring effective control and continuous process improvement;
  • Identification, escalation and resolution of issues regarding the department and related activities;
  • Ensure adherence to Finance Policies and Procedures and that said documents are updated in accordance with review schedules and remain relevant in the context of business/market events;
  • Ensure adherence to relevant regulatory requirements and accounting standards;
  • Documentation of control activities and methodologies undertaken in respect of the above responsibilities to a standard sufficient to ensure hand over of tasks and auditability of results and including the management of operational risks;
  • Conducting analysis in support of the Finance function, whether through additional ad hoc tasks or presentation of written materials;
  • Support the development of an integrated Finance function across Bank and Securities, identifying opportunities to align processes and approaches in current systems to facilitate future integrations

Principal Duties

Specifically, you will have management and oversight of the above named Department/Unit:

  • Establishing and developing the Department/Unit and its participation in the Firm's Business strategy including setting objectives and business plans and managing costs within the Department/Unit;
  • Leading, directing, controlling and managing the staff within the Department/Unit to ensure that they (i) understand their responsibilities and duties applicable to their roles, (ii) comply with the Firm's policies and procedures and (iii) conduct themselves in a way which is commensurate with the Firm's values;
  • Maintaining and enhancing good working relationships with stakeholders, including business and control / infrastructure teams globally;
  • Planning and preparing the Department/Unit's annual budget, documenting budget expenditures and monitoring Department/Unit expenditure ensuring that cost controls are always in place;
  • With regard to your International responsibilities (where applicable), overseeing and being accountable for the International Business, including supporting the strategy determined by the International Business Head of MUSHD, including the activity, and building of, a best-in-class International Business;
  • Maintaining required control procedures, including the management of operational risks.

Controls & Compliance

You will manage the Department/Unit and ensure compliance with the Firm's internal risk and compliance requirements, controls and procedures including but not limited to:

  • You shall conduct yourself at all times in a way which is commensurate with the Firm's values and ensure that the needs of the Firm's clients and the integrity of the market are placed at the heart of the carrying out of your duties and ensure all staff under your responsibility are conducting themselves as industry professionals and in accordance with policy guidelines.
  • Take reasonable measures to remain aware of key market and regulatory developments and, where necessary, attend training in this regard.
  • Comply with, ensure that all staff under your responsibility (where applicable) comply with, the Company's policies and procedures as well as all rules, laws and regulatory requirements emanating from any of the regulatory authorities to which the Firm is subject;
  • Carry out management responsibilities (where applicable) in accordance with the Company's policies and procedures ensuring that all staff are fully trained and understand what is required of them in order to do their jobs effectively. This includes, but is not necessarily limited to, the following: providing job descriptions and setting objectives/personal development plans for, and performing performance appraisals of, staff at least twice a year, handling appropriately any grievance or disciplinary issues, liaising with the Human Resources Department where appropriate.

MANAGING CONFLICTS OF INTEREST

  • The role holder will have responsibilities for both MUFG Bank and MUFG Securities EMEA plc.
  • The role holder will be required to perform their duties and responsibilities on an entity neutral basis, without favour.
  • The role holder is required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of MUFG Bank and MUS.
  • Working terms are dictated by functional mandates, the terms of the Dual-Hat Arrangement Agreement in place between MUFG Bank and MUFG Securities EMEA plc and any other relevant agreements entered into between MUFG Bank and MUFG Securities EMEA plc.
  • The role holder will have responsibility for identifying and resolving where there may be a difference or conflict in needs between MUFG Bank and MUFG Securities EMEA plc, escalating to their manager where required.

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.

About US

At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them

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