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MUFG Union Bank CMP - Compliance Markets Advisory - AVP in United States

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.

We are MUFG. 360 years of heritage. A world-class set of businesses. And more than 180,000 employees in 50 markets. It’s no surprise that MUFG has grown to become one of the top five banks in the world. Our services include commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. MUFG offers stability in an ever-changing market, providing services to high-profile clients worldwide.

Our vision? To become the world’s most trusted financial group. You’ll help us achieve it.

OVERVIEW OF THE DEPARTMENT/SECTION

The European Compliance Division (ECOD) is responsible for providing guidance on regulatory matters relating to relevant business activities undertaken by the firm and to advise generally on the treatment and interpretation of both European and International compliance rules and regulations. Markets Advisory assists Department Heads with the development of desk policies and procedures to comply with regulatory requirements and to ensure implementation of regulatory developments.

NUMBER OF DIRECT REPORTS

None

MAIN PURPOSE OF THE ROLE

  • Provide Global Markets Compliance advice and coverage across “FIC” (Fixed Income and Currencies) and Equities. Specifically, Rates, Credit, FX, Cash Equities and Equity derivatives. Act as a key point of delegation and support to the Head of Markets Advisory compliance.

  • Engage with Front Office and other key stakeholders (e.g. Risk/COO/Legal on any Regulatory compliance matters arising within Global Markets) in order to provide proactive, quality advice and support on regulatory compliance matters.

  • Support the Head of Markets Advisory on wider regulatory or strategic projects.

KEY RESPONSIBILITIES

  • In this role, you will support the Markets Compliance Advisory team across MUFG’s banking arm and securities business under a dual-hat arrangement. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you.

SKILLS AND EXPERIENCE

Functional / Technical Competencies:

  • Strong Global Markets Sales and Trading product knowledge and business understanding. Experienced dealing with relevant Front office areas on a day to day advisory/ dealing floor capacity.

  • Strong understanding of the FCA regulatory environment and handbook as well as European and Extraterritorial regulations impacting the business from a practical perspective, specifically MiFID II, MAR, Dodd-Frank and Volcker.

  • Strong knowledge of key/current regulatory issues impacting relevant front office business

Work Experience:

  • Compliance experience within a front office business line role, ideally in an investment banking organization

  • Experience of interacting with front office teams on regulatory compliance matters

Education / Qualifications:

  • Degree Level or equivalent qualifications and experience

PERSONAL REQUIREMENTS

  • Excellent communication skills

  • Results driven, with a strong sense of accountability

  • A proactive, motivated approach

  • Sharp intellect

  • The ability to operate with urgency and priorities work accordingly

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

  • Strong problem solving skills

  • Excellent interpersonal skills

  • The ability to manage large workloads and tight deadlines

  • Excellent attention to detail and accuracy

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

  • Strong numerical skills

  • Excellent Microsoft Office skills

MUFG, a global financial group 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. We are open to considering flexible working requests in line with organisational requirements.

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

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