MUFG Investor Services
Financial Services
SeniorRegulatoryComplianceSpecialist
Neural analysis suggests this role is
optimal for director candidates.
“Senior Regulatory Compliance Specialist at MUFG Investor Services. Skills: Regulatory compliance, Risk management, Asset servicing, Financial regulations. Conduct regulatory analysis. Assess licensing requirements”
Industry & Context.
Risk assessment; Control design
Controlled Function (CF) role
What They're Looking For.
Must Have
Bachelor’s degree in Law, Finance, Economics, Significant experience in regulatory compliance, Experience in legal function within financial services, Focus on asset servicing, Experience working across multiple jurisdictions, Familiarity with cross-border distribution, Familiarity with passporting frameworks, Interpreting complex legal and regulatory texts, Translating texts into practical business guidance, Translating texts into operating models, Demonstrated experience designing regulatory control frameworks, Demonstrated experience implementing regulatory control frameworks, Risk assessment capabilities, Control design capabilities
Nice to Have
Advanced degree preferred, Legal qualification preferred, Awareness of global regulatory regimes considered an advantage
What You'll Do.
Conduct regulatory analysis
Assess licensing requirements
Identify regulatory obligations
Interpret financial regulations
Apply financial regulations
Assess regulatory risks
Design control frameworks
Implement control frameworks
Develop risk assessments
Maintain risk assessments
Develop controls matrices
Maintain controls matrices
Develop compliance frameworks
Maintain compliance frameworks
Provide regulatory guidance
Advise on operating models
Support preparation of regulatory applications
Support submission of regulatory applications
Support preparation of regulatory notifications
Support submission of regulatory notifications
Develop technical solutions
Maintain technical solutions
Document regulatory analysis output
Monitor regulatory analysis output
How You'll Work.
Team & Collaboration
Engage with stakeholders; Develop control frameworks
Process & Methodology
Manage multiple projects
Full Job Description
MUFG Investor Services provides asset servicing solutions to the global investment management industry. Leveraging the financial and intellectual capital of MUFG – one of the largest banks in the world with $2.8 trillion in assets – we provide clients access to a range of leading solutions from fund administration, middle-office outsourcing, custody, foreign exchange, trustee services and depository to securities lending and other banking services. With a diverse and dynamic network of offices across the globe, MUFG Investor Services provides challenging and rewarding careers. We achieve this by offering continuous learning and development, collaborative team work environment, promotion of work-life integration, and exposure to a wide variety of work. Imagine your future at MUFG Investor Services where you can grow professionally, in a diverse and inclusive workplace that rewards your contribution. * Conduct detailed regulatory analysis of new and existing products, services and activities to determine their regulatory characterization and applicable governing regulatory frameworks. * Assess licensing requirements across various jurisdictions, including EU member states and APAC, and identify regulatory obligations for market entry and ongoing operations. * Interpret and apply relevant financial services regulations, including those governing asset servicing, custody, fund administration, and related activities. * Assess inherent regulatory risks associated with new products, services, and business activities, and design, implement, appropriate control frameworks to mitigate those risks. * Develop and maintain regulatory risk assessments, controls matrices, and compliance frameworks aligned to applicable regulations and internal risk appetite. * Provide regulatory guidance to product, business teams and other relevant stakeholders during product development and advising on operating models and impacted regulatory regimes. * Support the preparation and submission of
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