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MUFG Union Bank Regulatory Affairs and Registrations, AVP 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. There are flexible work from home options available. A member of our recruitment team will discuss the options with you in more detail.

The Compliance Department is responsible for setting the policies and procedures for the registered representatives and associated persons of the broker dealer. The Regulatory Affairs function is a key part of the Compliance Program, managing the Firm’s relationship with its regulators, maintaining open lines of communication and responding to regulatory requests in a prompt and concise manner.

Main Purpose of the role:

This position would facilitate the Firm’s regulatory affairs compliance program, responsible for all communications with its regulators. It will also be responsible for managing the Firm’s Registrations Department, ensuring all firm and individual licensing requirements are met and maintained.

Key Responsibilities:

  • Regulatory Examination Management: assist with regulatory examinations, including receiving notifications of exams, responding to initial examination requests for materials, responding to subsequent requests for materials and meetings, and preparing management responses to examinations. Post examination, ensuring findings and recommendations are addressed appropriately.

  • Have the ability to multitask and can complete various tasks

  • Assist in implementing regulatory changes as applicable.

  • Ability to project manage and engage relevant stakeholders to compile information for examinations and regulatory audits.

  • Prioritize tasks for the Department and schedule meetings, maintain minutes of meetings and create task lists.

Skills & Experience:

  • 5+ years of compliance in a broker dealer environment with focus on regulatory affairs.

  • Strong knowledge of FINRA, SEC, NFA, MSRB and CFTC rules and regulations.

  • Knowledge of all types of financial securities products.

  • Strong verbal and written and organizational skills.

  • Strong work ethic.

  • Able to handle projects independently.

  • Works well in a team setting.

  • Willing to take on additional duties if necessary.

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.

Some MUFG roles require that individuals be fully vaccinated against COVID-19, subject to exemptions for medical or religious reasons, as well as any other reason required by applicable law or order. Should you be selected for an interview, your recruiter will provide additional information.

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