Assistant Vice President, Trade Surveillance

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000 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.
The Core Compliance department at MUFG plays a critical role in safeguarding the integrity and reputation of the investment bank. It is responsible for ensuring that the firm operates within the framework of applicable laws, regulations, and internal policies.
Within Core Compliance, the EMEA Surveillance Department works closely with sales, trading and business units to identify and manage market abuse risks, executes a comprehensive trade and communication surveillance programme, and promotes a culture of ethical conduct and accountability.
Our Trade Surveillance coverage includes sales and trading activities across multiple asset classes and financial markets within our London Bank and Securities businesses and similar businesses in other EMEA countries. Communications Surveillance covers the UK population and certain EMEA and other overseas operations which affect EMEA business.
The primary purpose of this role is detecting, monitoring, analysing and investigating trading activities of MUFG and its clients, to identify possible violations of market abuse regulatory requirements and MUFG trading and compliance policies. In particular, this involves investigating alert referrals submitted by the Level 1 (L1) offshore surveillance team or escalations from the Front Office, ensuring that each case is assessed promptly and thoroughly. Responsibilities include helping with the testing and calibration of surveillance alerts, contributing to efforts aimed at improving system efficiency, and providing day-to-day support to the Level 1 offshore surveillance team. The individual will work closely with lead stakeholders to ensure effective execution of surveillance processes and contribute to the development of offshore team capabilities.
Tasked with reviewing and investigating all referrals made by the offshore L1 team; documenting and analysing all relevant information to determine if any concerns of suspicious activity merit escalation to the Trade Surveillance Senior Manager and EMEA Head of Surveillance.
Working collaboratively with the L1 team, overseeing the quality of alert disposition and providing feedback to support training efforts.
Assisting in sample-based quality assurance testing of the L1 team alert closures to ensure adequacy, completeness and effectiveness.
As part of BAU work, conducting analysis of alert/referral patterns and escalation trends to identify emerging risks, behavioural anomalies, and potential market abuse issues.
Giving support to the annual calibration and backtesting review process, contributing to the analysis of results and recommendations for parameter changes that could improve the effectiveness of the overall trade surveillance framework.
Building relationships with the Front Office and wider Compliance teams in order to facilitate collating evidence for surveillance investigations.
Supporting the training of the L1 team in new products/platforms and market abuse risk typologies, specifically how these will impact alert disposition and the wider surveillance framework.
Maintaining a positive working relationship with external surveillance system vendors as part of effective incident management.
Demonstrating a proficient understanding of financial markets, covering major asset classes such as equities, fixed income, foreign exchange, repos, and derivatives—including but not limited to futures, swaps, options and structured products.
Assisting in the planning and deliver of the Surveillance Team’s annual objectives, the supervision of the L1 team, and supporting the Trade Surveillance Senior Manager / EMEA Head of Surveillance in the delivery of the department’s and wider Compliance Divisions objectives.
WORK EXPERIENCE
MiFID II, Dodd Frank Act) and relevant FCA regulatory requirements and expectations on market abuse surveillance programmes.
Knowledge and understanding of UK and EU financial markets across major asset classes (including equities, fixed income, FX, and derivatives (options, futures, swaps, structured products)), trading behaviours and market abuse typologies.
Experience in data analytics or automation to enhance surveillance effectiveness.
Bachelor’s degree in Finance, Economics, Business Administration, or a related field.

MBA) or professional certifications such as CFA, CAMS, or ICA.

A creative and innovative approach to work
Excellent Microsoft Office skills
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.