Vice President, Compliance Advisory

Vice President, Compliance Advisory - US Regulations CFTC and SBSD Swap DealerJoin MUFG for this role.Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we have about 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.Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.OVERVIEW OF THE DEPARTMENT/SECTIONMUFG (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: mufgemea.com.NUMBER OF DIRECT REPORTSN/AMAIN PURPOSE OF THE ROLEThis is a high visibility role that will be responsible for contributing in the establishment of the EMEA regions operational efficiency in US regulatory compliance and reporting, including CFTC/NFA and SEC Swap Dealer (collectively “US regulatory tasks” framework) including but not limited to compiling the required reporting to the US authorities. The role will have direct exposure to all levels of the business and will be the primary contact for the US regulation advisory and related tasks management.The role will also oversee the compliance framework for controlling the MUSE entity licences/registrations that MUSE has with overseas regulators in addition to the CFTC/SEC.KEY RESPONSIBILITIESThe role will be acting across MUFG’s banking arm and securities business under a dual‑hat arrangement. Under this arrangement you will be the SME of US regulatory requirements. To develop efficient work flow and operation model US Reg compliance for both the bank and the securities business, subject to the same remit and level of authority, irrespective of the entity which employs you.Job responsibilitiesTo develop a more mature and efficient US regulatory related tasks’ framework and workflow.Carry out the day to day management of US related regulatory tasks.Assist in the development of the Compliance framework For US and other entity regulations for MUSE across all relevant business lines operating in EMEA. This includes uplift of CFTC/NFA and SEC programmes and monitoring of adherence to programme by impacted departments.Provide proactive advice, guidance and challenge to the businesses in regulatory compliance matters.Work closely with the Regulatory Change Team (who lead on providing advice and guidance on regulatory developments which are in the upstream/implementation phase) for example in drafting and updating policies, procedures and developing and delivering training.Provide training to the front office on regulatory and conduct matters with a particular focus on US regulation including for Swap Associated Persons.As required represent Advisory Compliance at the Swap Dealer Oversight Committee.Draft the annual CFTC/NFA and SEC Compliance reports and conduct lookback exercise.Assist on the CFA//NFA audits.Work Experience4 years relevant compliance experience in total within an Advisory/ Legal function, specialising US regulatory compliance.+3 years VP level experience in Market Side Compliance Advisory role in an investment banking organisation.SKILLS AND EXPERIENCEFunctional / Technical CompetenciesEssentialStrong understanding and knowledge of Market Compliance and other investment banking products, including but not limited to loans, bonds and structured finance, and particular strong experience in Sales and Trading.In depth knowledge of MAR and MiFID II, and US regulatory compliance.Strong knowledge of risk, compliance and controls.Strong understanding of key regulations applicable to markets products, including MiFID II, MAR and US reg.Strong interpersonal and communication skills.Sharp intellect with the ability to grasp complex concepts.Ability to challenge independently and constructively, where appropriate in order to achieve engagement and drive resolution.Ability to act autonomously when appropriate and know when to elevate matters.Highly organised, goal oriented and solutions focused.Education / QualificationsEssentialStrong educational background with a university degree preferably in Law and/or Financial Regulation.US regulatory Compliance experience a 5t least years (or more) in investment banking.PERSONAL REQUIREMENTSExcellent communication skills.A proactive, motivated approach.The ability to operate with urgency and prioritise work accordingly.Strong decision making skills, the ability to demonstrate sound judgement.A structured and logical approach to work.Excellent interpersonal skills valuing team work.Excellent attention to detail and accuracy.A calm approach, with the ability to perform well in a pressurised environment.Sharp intellect with excellent researching skill necessary for the US regulatory related tasks.Conscious of confidentiality involved in the nature of business and regulatory compliance related tasks.Ability to work/ collaborate with variety of stakeholders of all related regions and Head Office.PERFORMANCE AND DUTIESThe role holder will be assessed in accordance with their employing entity’s performance framework and process with relevant input obtained from the dual hatting entity as relevant. As duties and responsibilities change, the job description will be reviewed and emended in consultation with the role holder. The role holder will carry out other duties as are within the scope, spirit and purpose of the role as requested by their line manager or Department Head.MANAGING CONFLICTS OF INTERESTThe 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 MUFG Securities EMEA plc.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. #J-18808-Ljbffr