Assistant Vice President, Compliance Control Room

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 120,000 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 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.

MAIN PURPOSE OF THE ROLE

• This is a role that will be responsible for tasks related to the EMEA regions conflicts of interest, Insider list, Watch list, MNPI, wall crossing, Treeing and Restrict List management (collectively “CCR related tasks” framework. The role will have direct exposure to all levels of the business and will be the primary contact for the CCR related tasks and related Advisory compliance matters.

KEY RESPONSIBILITIES

The role will be acting across MUFG’s banking arm and securities business under a dual-hat arrangement. Under this arrangement you will perform the daily task on behalf of both the bank and the securities business, subject to the same remit and level of authority, irrespective of the entity which employs you.

Job responsibilities:

To contribute to the daily CCR related tasks framework

• Perform the day to day of CCR related tasks
• Provide support and delegation to the Head of Advisory as necessary
• Contribute to further development of the CCR related tasks management framework across all business lines operating in EMEA supporting both the compliance teams across EMEA and educating the various businesses that operate in the region
• Provide advice, guidance and challenge to the businesses in regulatory compliance matters with a particular focus on CCR related matters (including but not limited to identification of risk, escalation and management) under the supervision of Head of CCR
• Contribute to draft and update policies and procedures as necessary
• Provide training to the front office on regulatory and conduct matters with a particular focus on CCR related tasks

WORK EXPERIENCE

Essential:

• Relevant compliance experience within a Conflicts Office, Control Room or Banking Compliance / Private Side Compliance Advisory role in an investment banking organisation

SKILLS AND EXPERIENCE

Functional / Technical Competencies:

Essential

• Knowledge of capital markets, structured finance and other investment banking products, including but not limited to loans, bonds and structured finance, and Sales and Trading.
• Sufficient knowledge of MAR and MiFID II compliance
• Knowledge of risk, compliance and controls
• Understanding of key regulations applicable to capital markets products, including MiFID II, MAR
• Interpersonal and communication skills
• 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 escalate matters
• Highly organised, goal oriented and solutions focused

Education / Qualifications:

Essential

• Strong educational background with a university degree preferably in Law and/or Financial Regulation

PERSONAL REQUIREMENTS

• Excellent 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
• The ability to manage large workloads and tight deadlines
• 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 CCR related tasks
• Conscious of confidentiality involved in the nature of business and CCR related tasks
• Ability to work/ collaborate with variety of stakeholders of all related regions and Head Office

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.