Assistant Vice President, Compliance Control Room

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.

OVERVIEW OF THE DEPARTMENT/SECTION

MUFG is a global network with around 2,300 offices in over 50 countries. The group has over 150,000 employees, offering services including commercial banking, trust banking, and asset management.

MAIN PURPOSE OF THE ROLE

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

KEY RESPONSIBILITIES

• Contribute to the daily CCR related tasks framework
• Perform day-to-day CCR related tasks
• Support and delegate to the Head of Advisory as necessary
• Develop the CCR related tasks management framework across all business lines in EMEA
• Provide advice and guidance to businesses on regulatory compliance matters
• Draft and update policies and procedures as necessary
• Provide training to the front office on regulatory and conduct matters

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 investment banking products
• Knowledge of MAR and MiFID II compliance
• Understanding of key regulations applicable to capital markets products
• Strong interpersonal and communication skills
• Ability to challenge independently and constructively
• Highly organised and solutions-focused

Education / Qualifications:

Essential

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

PERSONAL REQUIREMENTS

• Excellent communication skills
• Proactive and motivated approach
• Strong decision-making skills
• Excellent attention to detail
• Ability to manage large workloads and tight deadlines

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 and respected.