Risk Regulatory Affairs Specialist

11 hours ago

London, Greater London, United Kingdom MUFG Securities EMEA plc Full time
Job Title: EMEA Risk Regulatory Affairs

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 120,000 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.

About the Role

We are seeking a highly skilled and experienced Risk Regulatory Affairs professional to join our EMEA team. As a key member of our Compliance Advisory team, you will be responsible for providing guidance on regulatory matters relating to relevant business activities undertaken by the firm and advising on the treatment and interpretation of both UK and International compliance rules and regulations.

Key Responsibilities
  • Lead and oversee the provision of technical regulatory advice to MUFG's Enterprise Functions, including but not limited to Operations, Technology and Change Management Functions across EMEA.
  • Serve as the CASS SME authority, delivering technical regulatory advice and expertise to the CASS SMF.
  • Work with the relevant Infrastructure teams and Front Office teams advising on MUFG's complex regulatory transaction reporting obligations, including MIFID, EMIR, CFTC, SEC, and SFTR.
  • Own the relationship with FCA on regulatory reporting matters, including any notifications/submissions and provide timely and accurate information upon request.
  • Lead MUFG EMEA's equity aggregation arrangements to ensure compliance with global laws and regulations relating to Substantial Shareholder Disclosures and Short Selling disclosures.
  • Represent Compliance and provide appropriate challenge at internal Committees, including regulatory change initiatives/projects.
  • Identify and recommend/execute opportunities for process improvement and risk control development.
  • Alert management including the International Chief Compliance Officer (CCO) immediately upon identification of any material regulatory breach.
  • Lead a team of Compliance SMEs on MUFG EMEA's trade and transaction regulatory reporting obligations.
  • Ensure ongoing compliance with MUFG's CASS obligations (including policies and procedures) and support the CASS Oversight Officer in the discharge of their functions.
  • Ensure ongoing compliance with the Payment Services Directive.
  • Provide technical support to EMEA and International Compliance colleagues on the application of reporting rules in other group entities and impacts on cross-border/remote booking activities.
  • Keep abreast of regulatory changes and provide SME input on new regulatory requirements/initiatives.
  • Support the CCO on matters regarding MUFG's regulatory reporting obligations, including managing the correspondence with global regulators.
  • Advise on all matters concerning position holding disclosures to global regulators in accordance with applicable laws and regulations and ensure appropriate equity aggregation in EMEA.
  • Empower and develop the team to meet business objectives while upholding the highest standards of regulatory adherence.
Requirements
  • Extensive experience managing relationships with Senior Management.
  • Clear understanding of the market and regulatory environment in which MUFG operates globally.
  • Proven ability in providing a 2LOD advisory compliance service to Operational colleagues.
  • Strong understanding and knowledge of securities and banking products & UK regulatory environment.
  • Good conceptual understanding of risk, compliance, and controls.
About MUFG

At MUFG, we are 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.

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