Mufg
Financial Services
RegulatoryOperationsAssociate
“Regulatory Operations Associate at Mufg. Skills: Regulatory Reporting, Exception Management, FINRA Reporting. Support daily business activities. Manage exception management”
What You'll Achieve.
Ensure regulatory obligations are met; Mitigate regulatory and operational risks; Support the businesses’ growth
Industry & Context.
Proactive mindset of spotting potential issues; Analytical skills; Ability to identify key issues
What They're Looking For.
Must Have
3+ years of transactional regulatory reporting experience, Experience with Microsoft suite of products, Experience with Bloomberg, Experience with Broadridge related systems (BPS, IMPACT, GLOSS)
Nice to Have
Experience with nTier software
What You'll Do.
Support daily business activities
Manage exception management
Submit correction reports to FINRA
Monitor live reporting queues
Research and escalate exceptions
Support ongoing regulatory projects
Perform supervisory functions
Monitor intraday TRACE exceptions
Remediate TRACE mismatches
Review CAT and CAIS reporting
Investigate CAT/CAIS errors
Perform daily reconciliations
Mitigate regulatory risks
Interface with business
Implement reporting enhancements
Participate in new reporting requirement implementation
Assist Compliance with FINRA/SEC inquiries
Provide Blue Sheet data
How You'll Work.
Team & Collaboration
Collaborate with cross-functional teams; Work with business, technology, and compliance; Support a positive and collaborative work environment
Communication Scope
Excellent written and verbal communication skills; Ability to effectively communicate issues
Process & Methodology
Analyze requirements, Create test scripts, Validate results
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