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MUFG Trade Surveillance, Assistant Vice President in Irving, Texas

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.


The general responsibilities for the Surveillance AVP include the following:

  • Working with various trade surveillance and electronic communication monitoring automated tools, conducting reviews of alerts for potential violations of firm policies or applicable rules and regulations, escalating to the appropriate department when necessary, losing alerts with accurate, complete, and organized notes; and listening to voice communications.

  • Adhering to written procedures for each of the reviews they’re responsible for; modifying procedures and submitting them for approval when needed.

  • Driving the enhancement and improvement of the program from both an effectiveness and efficiency perspective.

  • Preparing metrics to report monitoring results to senior management, including identifying potential trends ,or themes that may warrant further consideration or action.

  • Keeping up-to-date with regulatory changes, internal policy updates, and disciplinary actions to determine that the monitoring system incorporates up-to-date techniques and addresses advanced market abuses.

  • Conducting investigations of potential issues as necessary.

Qualifications and Experience

The ideal candidate will possess the following qualifications and experience:

  • Bachelor’s degree

  • At least 5-7 years of experience in banking or broker-dealer operations or compliance

  • Previous experience with any monitoring tools a strong plus

  • Series 7 or Securities Industry Essentials (SEI) exam a plus

Skills and Attributes

The ideal candidate will demonstrate the following skills and attributes:

  • Excellent written and verbal communication skills

  • Attention to detail; excellent organizational skills

  • Excellent analytical skills

  • Ability to exercise sound judgment and escalate issues appropriately

  • Ability to establish and maintain strong relationships across multiple departments

  • Team player and ability to work collaboratively

  • Native-level proficiency in the English language, both verbally and in writing is required. Fluency in Japanese and/or Portuguese is a plus

  • Proficiency with Microsoft Office products (Word, Excel, PowerPoint)

The typical base pay range for this role is between $90k-$112k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summar ( y

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.

At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!

Our Culture Principles

  • Client Centric

  • People Focused

  • Listen Up. Speak Up.

  • Innovate & Simplify

  • Own & Execute