Assistant Vice President, Trade Surveillance

**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’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.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

**OVERVIEW OF THE DEPARTMENT/SECTION**

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.

**MAIN PURPOSE OF THE ROLE**

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. You will be part of the London team in identifying potential indicators of market abuse and escalating cases where appropriate, including those that may lead to the submission of Suspicious Transaction or Order Reports (STORs) to the regulator.

In addition, this role will support the ongoing optimisation of the trade surveillance programme by assisting senior team members in key activities. 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.

**KEY RESPONSIBILITIES**
- 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.
- Contributing to the updating of trade surveillance alert procedures to reflect changes in the surveillance programme.
- 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.
- Developing the ability to use automated communication surveillance systems to compliment the investigation of trade surveillance referrals.
- 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 future