Vice President, Compliance Advisory - US Regulations CFTC and SBSD Swap Dealer
Do you want your voice heard and your actions to count?
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 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.
MAIN PURPOSE OF THE ROLE
This is a high visibility role that will be responsible for establishing the EMEA region's operational efficiency in US regulatory compliance and reporting, including CFTC/NFA and SEC Swap Dealer (collectively “US regulatory tasks” framework) including but not limited to compiling the required reporting to the US authorities). The role will have direct exposure to all levels of the business and will be the primary contact for the US regulation advisory and related tasks management.
KEY RESPONSIBILITIES
Develop a more mature and efficient US regulatory related tasks’ framework and workflow.
Carry out the day-to-day management of US related regulatory tasks.
Provide support and delegation to the Head of Advisory as necessary.
Assist in the development of the US Regulation Compliance framework across all relevant business lines operating in EMEA. This includes uplift of CFTC/NFA and SEC programmes and monitoring of adherence to the programme by impacted departments.
Provide proactive advice, guidance and challenge to the businesses in regulatory compliance matters with a particular focus on US regulatory related matters.
Work closely with the Regulatory Change Team to draft and update policies, procedures and develop and deliver training.
Provide training to the front office on regulatory and conduct matters with a particular focus on US regulation including for Swap Associated Persons.
Represent Advisory Compliance at the Swap Dealer Oversight Committee.
Draft the annual CFTC/NFA and SEC Compliance reports.
WORK EXPERIENCE
Essential:
Extensive compliance experience within an Advisory/Legal function, specializing in US regulatory compliance.
Seasoned VP with experience in Market Side Compliance Advisory role in an investment banking organization.
SKILLS AND EXPERIENCE
Functional / Technical Competencies:
Essential:
Strong understanding and knowledge of Market Compliance and other investment banking products.
In-depth knowledge of MAR and MiFID II, and US regulatory compliance.
Strong knowledge of risk, compliance and controls.
Strong understanding of key regulations applicable to market products.
Strong interpersonal and communication skills.
Ability to grasp complex concepts.
Ability to challenge independently and constructively.
Ability to act autonomously when appropriate and know when to escalate matters.
Highly organized, goal-oriented and solutions focused.
Education / Qualifications:
Essential:
Strong educational background with a university degree preferably in Law and/or Financial Regulation.
US regulatory Compliance experience of at least 5 years in investment banking.
PERSONAL REQUIREMENTS
Excellent communication skills.
A proactive, motivated approach.
Ability to operate with urgency and prioritize work accordingly.
Strong decision-making skills.
A structured and logical approach to work.
Excellent interpersonal skills valuing teamwork.
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.
Ability to work/collaborate with a variety of stakeholders.
We are open to considering flexible working requests in line with organizational 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.
#J-18808-Ljbffr
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 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.
MAIN PURPOSE OF THE ROLE
This is a high visibility role that will be responsible for establishing the EMEA region's operational efficiency in US regulatory compliance and reporting, including CFTC/NFA and SEC Swap Dealer (collectively “US regulatory tasks” framework) including but not limited to compiling the required reporting to the US authorities). The role will have direct exposure to all levels of the business and will be the primary contact for the US regulation advisory and related tasks management.
KEY RESPONSIBILITIES
Develop a more mature and efficient US regulatory related tasks’ framework and workflow.
Carry out the day-to-day management of US related regulatory tasks.
Provide support and delegation to the Head of Advisory as necessary.
Assist in the development of the US Regulation Compliance framework across all relevant business lines operating in EMEA. This includes uplift of CFTC/NFA and SEC programmes and monitoring of adherence to the programme by impacted departments.
Provide proactive advice, guidance and challenge to the businesses in regulatory compliance matters with a particular focus on US regulatory related matters.
Work closely with the Regulatory Change Team to draft and update policies, procedures and develop and deliver training.
Provide training to the front office on regulatory and conduct matters with a particular focus on US regulation including for Swap Associated Persons.
Represent Advisory Compliance at the Swap Dealer Oversight Committee.
Draft the annual CFTC/NFA and SEC Compliance reports.
WORK EXPERIENCE
Essential:
Extensive compliance experience within an Advisory/Legal function, specializing in US regulatory compliance.
Seasoned VP with experience in Market Side Compliance Advisory role in an investment banking organization.
SKILLS AND EXPERIENCE
Functional / Technical Competencies:
Essential:
Strong understanding and knowledge of Market Compliance and other investment banking products.
In-depth knowledge of MAR and MiFID II, and US regulatory compliance.
Strong knowledge of risk, compliance and controls.
Strong understanding of key regulations applicable to market products.
Strong interpersonal and communication skills.
Ability to grasp complex concepts.
Ability to challenge independently and constructively.
Ability to act autonomously when appropriate and know when to escalate matters.
Highly organized, goal-oriented and solutions focused.
Education / Qualifications:
Essential:
Strong educational background with a university degree preferably in Law and/or Financial Regulation.
US regulatory Compliance experience of at least 5 years in investment banking.
PERSONAL REQUIREMENTS
Excellent communication skills.
A proactive, motivated approach.
Ability to operate with urgency and prioritize work accordingly.
Strong decision-making skills.
A structured and logical approach to work.
Excellent interpersonal skills valuing teamwork.
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.
Ability to work/collaborate with a variety of stakeholders.
We are open to considering flexible working requests in line with organizational 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.
#J-18808-Ljbffr
