MUFG Union Bank Americas Compliance Control Room, Vice President - Hybrid in New York, New York
Do you want your voice heard and your actions to count?
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.
This is a hybrid position. The selected colleague will work at an MUFG office an average of two to three days per week with the remainder worked remotely.
The Americas Compliance Control Room (CCR) administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and actions are taken to mitigate compliance risk.
Principal functions and responsibilities:
Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
Provide consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information and Personal Trading).
Serve as a Subject Matter Expert for designated laws, regulations and policies, including insider trading and transactional conflicts of interest.
Execute projects as assigned by supervisor and/or Compliance senior management.
Manage controls, including oversea the maintenance of the Watch and Restricted Lists to prevent and detect insider trading by employees. These activities include the administration of requirements under applicable insider trading policies, centralized reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, employee trading and pre-clearance, and metrics and escalation reporting.
Perform transactional conflicts of interest (TCOI) process including review of TCOI submissions, escalation to U.S. management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls and any required risk mitigation.
Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matter; and respond to compliance related questions from management and staff.
Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee accordingly. Provide information for compliance reporting to management and governance groups.
Manage the execution of assignments by junior team staff under the bank’s compliance risk programs.
Develop, coordinate and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information, and Personal Trading).
Experience and skills required:
7 to10+ years of Compliance and Control Room experience
FINRA Broker Dealer experience
Strong knowledge of financial markets, investment banking, capital markets and products
Outstanding analytical and organizational skills
Experience leading and delivering on projects
Experience working in a large international organization preferred
Excellent communications skills (verbal and written)
Series 7, 8 and 24 licenses a plus
The typical base pay range for this role is between $120k-$150k 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.
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/Affirmative Action 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
Listen Up. Speak Up.
Innovate & Simplify
Own & Execute