Assistant Vice President, Regulatory Reporting Sme

2 months ago

London, United Kingdom MUFG Securities EMEA plc Full time

**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.

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG has a global network with 1,100 offices in over 40 countries. The Group has over 140,000 employees, offering services including corporate banking, commercial banking, retail banking, wealth management, investment banking, capital markets, personal and corporate trust, and transaction banking.

The Group’s operating companies include Bank of Tokyo-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking Corporation (Japan’s leading trust bank), and Mitsubishi UFJ Securities Holdings Co., Ltd., one of Japan’s largest securities firms.

MUFG conducts securities business internationally through its overseas subsidiaries MUFG Securities EMEA plc, MUFG Securities Americas Inc., MUFG Securities Asia Limited. and MUFG Securities Asia (Singapore) Limited. With each member of the group working in partnership with one another, MUFG provides best in class service and products to corporate and institutional clients.

MUFG Securities EMEA plc is the European hub of MUFG’s securities business. Headquartered in London we have just over 600 employees and are active throughout the international capital markets, focusing on debt, equity, derivatives and structured products. Due to the diverse nature of our business we require a clear unifying vision for all of our people. It is this vision and our corporate values that reflect who we are and guide how we behave. We therefore strive to recruit individuals who share our vision and values, and who have the motivation and commitment to help us move our business forward.

The Regulatory Operations Assurance team is a new team within Operations whose key function is to provide Assurance to senior management and stakeholders that our Regulatory Reporting is complete, accurate and timely across all reporting regimes

**MAIN PURPOSE OF THE ROLE**

We have an exciting opportunity for an experienced Regulatory Reporting SME to join the Regulatory Operations Assurance function within Operations. The main focus of the role is to manage and own the governance and control of all regulatory reporting changes, to ensure that all changes do not negatively impact the ‘completeness’ and ‘accuracy’ of MUFG’s trade & transaction reporting.

The role involves setting up and implementing a robust governance and control framework focusing on providing the appropriate assurance to ensure that ‘production changes’ do not negatively impact regulatory trade/transaction reporting. This includes taking ownership/signoff of any fixes/implementations on behalf of Operations, checking and validating changes from a regulatory perspective and assisting with the UAT testing process and signoff.

**KEY RESPONSIBILITIES**

To be the Operations regulatory reporting delivery ‘gatekeeper’ by defining and implementing the necessary governance and controls to ensure the firm maintains its regulatory reporting obligations when implementing change.

This would include:

- Define and implement a governance & control framework around ‘Change’ to ensure production changes do not impact regulatory trade & transaction reporting.
- Ensure all changes that could impact regulatory reporting obligations follow the defined governance & control framework.
- Work closely with Change, Technology, Compliance and other areas within Operations to ensure all Regulatory reporting deliverables are implemented accurately across all regimes and at the appropriate priority.
- Implement ’best practices’ in terms of validating current regulatory reporting requirements and ensure future reporting requirements and changes adhere to these ‘best practices’.
- Assist with the UAT process and testing of changes that impact regulatory reporting and provide the appropriate signoff for Operations.
- Define and template appropriate tests strategies & test cases required to detect issues of under-reporting, over-reporting and miss-reporting.
- Understanding the current regulatory reporting governance, controls and architecture in place at MUFG [

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