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MUFG Union Bank Vice President, Sanctions Advisory (Escalations Team Lead) in London, United Kingdom

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Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world. Across the globe, we’re 180,000 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 Financial Crimes Office for EMEA (FCOE) in London is part of the Global Financial Crimes Division (GFCD) headquartered in New York. It works to ensure that our organisation conducts its business such a way that we protect our reputation, our business, and our clients within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective systems and controls to protect clients’ assets and to mitigate the risk that MUFG might be used to further financial crime.

Within the Sanctions team of FCOE, the Sanctions Advisory team is responsible for providing sanctions advise on the relevant regulations, client relationships, transactions and deals; to ensure that the bank remains compliant with laws and regulations. Whilst all members of Sanctions Advisory are responsible for all aspects of sanctions compliance, this particular team is predominantly focused on payment and transaction escalations




Driving the implementation of MUFG Bank’s financial crimes risk appetite, policies and standards by managing and providing an approachable sanctions advisory escalations hub, within the Sanctions Advisory team. The Sanctions Advisory, Escalations team are responsible for managing escalations from the EMEA region on all sanctions queries, which will primarily relate to payments and transactions; it is their responsibility to ensure that regulations and laws are well understood and applied against payment and transaction escalations, ensuring advice is clear, informative and consistent.

The role holder will be responsible for:

  • Staying abreast of relevant Sanctions laws and regulations

  • When sanctions alerts, that are generated through the banks screening systems, are noted as having a ‘True’ sanctions risk; following an initial investigation they are escalated to Level 3. Level 3 reviews are then required, to determine the most appropriate course of action in line with regulations. The role holder will be responsible for developing and overseeing the Sanctions, Level 3 screening escalations Team; ensuring adherence to regulations and SLA’s

  • When advise is sought in relation to transactions and or loans the role holder is responsible for reviewing the loan or deal for Sanctions concerns and ensuring the appropriate measures are undertaken, so as to ensure compliance with laws and regulations

The role holder will be required to work autonomously with little supervision and have a solid understanding of the regulations and associated sanctions risk. The role requires a good understanding of transactions, payments and the broader banking and regulatory environment, including keeping up to date with developments and their potential impact on MUFG.

The role holder is also responsible for overseeing the investigation of each case, determining if it can be processed and escalating any sanctions issues to Management and Global Sanctions Advisory. In addition, the role holder will be responsible for working with compliance stakeholders across the region to ensure that appropriate follow on actions are agreed and conducted locally.

The role holder is responsible for maintaining appropriate MI on the status of cases, keeping the team and regions up to date with regulatory updates and policy or process changes whilst continually looking for process improvements or efficiencies.



In addition to the duties described above, you will contribute to the work of the GFCD department in any other ways reasonably expected, including memberships of projects and working groups and assisting with other priorities in the department or group as a whole.

Sanctions Team Lead: Key Responsibilities

  • Contribute to the implementation of and compliance with Global Policies, Standards and Procedures which govern MUFG’s financial crime control framework across EMEA; ensuring appropriate Sanctions Risk Management and delivering efficiencies within existing processes

  • Manage L3 escalations driven by sanctions, monitoring case and query volumes and planning for future case volumes based on previous trends

  • Provide timely and consistent sanctions advice on L3 escalations to key stakeholders

  • Ongoing leadership and oversight of Sanctions escalations team; including providing specific Sanctions SME guidance

  • Provide regular updates on regulatory developments

  • Ensure the team stay aligned with regulatory developments so as to ensure compliance with laws and regulations

  • Work alongside other Sanctions SME’s across the region, to ensure that Sanctions Risk is managed

  • Liaise with key stakeholders to perform Customer Due Diligence when a sanctions nexus is identified

  • Conduct risk assessments on proposed transactions

  • Evaluate and provide advice regarding sanctions clauses in contractual agreements

  • Provide training and development to the Sanctions Advisory Escalations team

  • Review and assess future transactions and or deals, so as to ensure appropriate sanctions compliance

  • Review sanction alerts identified during Know Your Customer (KYC) onboarding and periodical review

  • Present key Management Information as well as sanctions regulatory updates at monthly forums, including some external panels and groups.

  • Review, assess and approve New Product Approvals in the EMEA region from a sanction’s perspective

  • Assist GFCD in the collection of customer information pertaining to sanctions data.

  • Maintain, review and approve Sanctions Policy documents for the EMEA region

  • Driving the timely and effective resolution of all EMEA Sanctions issues.


Functional / Technical Competencies:


  • Proven experience in and understanding of Sanctions

  • Proven experience in Payments

  • Strong knowledge of and experience in banking

  • A good understanding of Banking and Investment products

  • Good understanding of financial crime risk in banking

  • An excellent understanding of the concepts of risk management and control

Specifics of role:

  • Strong analytical skills

  • Excellent interpersonal and communication skills, both written & verbal

  • Strong financial sanctions knowledge in particular OFAC, EU and UK regulations

  • The ability to operate with urgency and prioritise work accordingly

  • Strong decision-making skills, the ability to demonstrate sound judgement

  • Strong relationship building and management skills


  • Results driven, with a strong sense of accountability

  • Excellent communication skills

  • A proactive, motivated approach.

  • The ability to operate with urgency and to manage large workloads and tight deadlines

  • Excellent attention to detail and accuracy

  • Strong decision making skills, the ability to demonstrate sound judgement

  • A structured and logical approach to work

  • A creative and innovative approach to work

  • Excellent interpersonal skills

  • Works collaboratively with immediate colleagues, other teams in Financial Crime, across ECOD and the Bank and escalates appropriately

  • Effective operating in a team and matrix-oriented environment, and ability to work with colleagues at all levels of seniority

  • A calm approach, with the ability to perform well in a pressurised environment

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.

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