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MUFG Union Bank Controller Global Markets, Director - MUFG Securities Americas Inc. (MUSA) in New York, New York


Controller Global Markets, Director - MUFG Securities Americas Inc. (MUSA)

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 (as ranked by S&P Global, April 2018). In the Americas, we’re 14,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We’re a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.

Mitsubishi UFJ Securities Holdings Co., Ltd. is a wholly-owned subsidiary of MUFG. The company conducts securities business in Japan through its domestic subsidiary Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. and internationally through its overseas subsidiaries Mitsubishi UFJ Securities International PLC, Mitsubishi UFJ Securities (USA) Inc., Mitsubishi UFJ Securities (Hong Kong), Ltd. and Mitsubishi UFJ Securities (Singapore), Ltd. Through these subsidiaries, the company provides financial products and integrated advice to both its own clients and those of the MUFG Group.

Mitsubishi UFJ Securities (MUSA) provides investment banking and brokerage products and services to institutional clients throughout the Americas. MUSA, is headquartered in New York and is active throughout the international capital markets, focusing on fixed income, debt, equity, derivatives and structured products.

Job Summary :

The Controller is responsible for managing a broad range of finance related activities for the Division, specifically as it relates to MUSA. These activities include:

  • Ensure underlying accounting records are accurate, complete and in accordance with US GAAP, JGAAP or IFRS as appropriate, and manage the monthly, quarterly and year-end financial close of MUSA

  • Produce accurate, relevant and timely financial information to Senior Management and the Board of Directors

  • Manage external audit relationship and regulatory examinations for the Financial and Regulatory Reporting teams

  • Ensure all financial and regulatory reporting filings of financial data are filed with the various US regulators (SEC, FINRA, etc.) or provided to the IHC Finance team for consolidation on a timely and accurate basis

  • Develop and maintain adequate key financial controls to manage financial risks yet ensure efficiency. Make certain the appropriate and relevant assurance activities are in place to assess the adequacy and effectiveness of those controls.

  • Working with the CFO, Treasury and Risk colleagues, ensure an effective Balance Sheet management framework

  • Provide the CFO, business and other support functions with awareness of current accounting and regulatory obligations with which they must operate and provide advice as necessary on emerging matters

  • Direct process improvements across the Controller’s function, to maintain an efficient operating model while delivering unparalleled levels of stakeholder satisfaction

  • Ensure the capability of the Controller’s team is fit for purpose in fulfilling its responsibilities

  • Establish an appropriate succession plan and develop team members to achieve their full potential

  • Assist the CFO in leading the financial aspects of regulator-driven initiatives and ensure transparency

  • Work collaboratively with Third Party Risk Management to ensure procurement is properly executed in Global Markets

  • Strategize with senior management on opportunities to optimize returns; assist Wholesale CFO with monitoring financial results and establishing long-range goals and performance measurements for the lines of business.

  • Build strong alliances with other departmental managers in order to effectively communicate priorities and areas of financial opportunity, and ensure company-wide initiatives are properly addressed

  • Serve as representative for Financial and Regulatory Reporting on New Product Committee

  • Work closely with the business teams and support colleagues on new initiatives

For MUS Canada

  • Serve as Controller and opportunity to serve as CFO (requires obtaining IIROC certification)

For Global Markets

  • Work closely with CFO on financial and regulatory matters and controls

  • Participate in business process improvement efforts

  • Lead by example

  • Embrace Firm initiatives such as Inclusion & Diversity

  • Comply with, and ensure all staff in the Department comply with, the Company’s policies and procedures as well as all rules and laws emanating from any of the regulatory authorities

  • Embrace change and drive innovations – adopt the philosophy of continuous improvement

  • Operate in a transparent manner and strive to assist team members and colleagues to deliver the best outcome to the Firm, its Clients, Investors and Regulators

  • Maintain confidentiality where required, whether business related or relating to staffing issues, such as, but not limited to, salaries and staff members’ personal circumstances. Ensure that all staff members in the Department also maintain confidentiality where required

  • Ensure that any responsibilities that you have delegated to other staff are appropriately apportioned and controlled. Ensure that the staff in question has a clear understanding of these duties so as to ensure that the business and affairs of the Company can be adequately monitored and controlled

  • Attract, develop and retain staff to establish a high performing team

  • Work collaboratively with other colleagues in the region and internationally to ensure we are operating as One MUFG



  • A BS/BA in Finance, Business or Accounting is required. An BA, CFA, or CPA is desired

  • A minimum of 10 years of progressive finance experience including Financial & Regulatory reporting experience in large, complex banking or financial institutions

  • Extensive knowledge of financial reporting, regulatory reporting , and forecasting and budget planning cycles

  • Ability to anticipate, identify and resolve complex financial issues

  • Possess excellent communication skills and comfort interfacing with all levels of management and Board of Directors

  • Must be effective at summarizing financial information

  • Track record of success in leadership and a demonstrated ability to attract, motivate and retain talent in all relevant functions

  • Well organized, disciplined planner and implementer with sound strategic judgment, thinking and vision

  • FINRA Series 27 and Series 99 required – can be obtained after joining MUSA

  • IIROC CFO certification

  • Proactive, motivated and demonstrated ability to lead a team through change

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 in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

Job: Finance

Primary Location: NEW YORK-New York

Other Locations: NEW YORK-New York

Schedule Full Time

Shift Day

Req ID: 35141