Mitsubishi UFJ Financial Group
Financial Services
VicePresident-USSwapDealerRegulations–ComplianceAdvisory
Neural analysis suggests this role is
optimal for Mid candidates.
“Vice President - US Swap Dealer Regulations – Compliance Advisory at Mitsubishi UFJ Financial Group. Skills: US regulatory compliance, Compliance Advisory, CFTC/NFA, SEC Swap Dealer. Contribute to establishment of EMEA operational efficiency in US regulatory compliance. Oversee compliance framework for MUSE entity licenses/registrations”
What You'll Achieve.
Establishment of the EMEA regions operational efficiency in US regulatory compliance and reporting; Development of a more mature and efficient US regulatory related tasks’ framework and workflow; Monitoring of adherence to programme by impacted departments; Achieve engagement and drive resolution
Industry & Context.
Sharp intellect with the ability to grasp complex concepts; Ability to challenge independently and constructively; Ability to act autonomously when appropriate; decision making skills; the ability to demonstrate sound judgement; A structured and logical approach to work; Sharp intellect with excellent researching skill
What They're Looking For.
Must Have
4 years relevant compliance experience in total within a Advisory/ Legal function, specialising US regulatory compliance, +3 years VP level experience in Market Side Compliance Advisory role in an investment banking organisation, understanding and knowledge of Market Compliance and other investment banking products, including but not limited to loans, bonds and structured finance, and particular experience in Sales and Trading, In depth knowledge of MAR and MiFID II, and US regulatory compliance, knowledge of risk, compliance and controls, understanding of key regulations applicable to markets products, including MiFID II, MAR and US reg, US regulatory Compliance experience a 5t least years (or more) in investment banking
What You'll Do.
Contribute to establishment of EMEA operational efficiency in US regulatory compliance
Oversee compliance framework for MUSE entity licenses/registrations
Develop efficient work flow and operation model US Reg compliance
Develop a more mature and efficient US regulatory related tasks’ framework
Carry out day to day management of US related regulatory tasks
Assist in development of Compliance framework for US and other entity regulations
Provide proactive advice
guidance and challenge to businesses
Work closely with Regulatory Change Team
Provide training to front office on regulatory matters
Represent Advisory Compliance at Swap Dealer Oversight Committee
Draft annual CFTC/NFA and SEC Compliance reports
Conduct lookback exercise
Assist on the CFA//NFA audits
How You'll Work.
Team & Collaboration
Work closely with the Regulatory Change Team; Provide training to the front office; Represent Advisory Compliance at the Swap Dealer Oversight Committee; Ability to work/ collaborate with variety of stakeholders of all related regions and Head Office; Role holder will have responsibilities for both MUFG Bank and MUFG Securities EMEA plc; Role holder will be required to perform their duties and responsibilities on an entity neutral basis; Role holder will have responsibility for identifying and resolving where there may be a difference or conflict in needs
Communication Scope
Excellent communication skills; interpersonal and communication skills; Excellent interpersonal skills valuing team work
Full Job Description
**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** MUFG (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 su
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