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.
OVERVIEW OF THE DEPARTMENT/SECTION
The Regulatory Processes Team is responsible for the management and coordination of Core Compliance processes which have broad relevance across or between teams.
This includes:
UK Regulatory filings
Compliance Training framework maintenance and development
Compliance Policy framework maintenance and development
Personal Account Dealing and Outside Business Interests Processes
Individual regulatory license regimes:
UK Senior Manager and Certification Regime administration
US SEC (SBSD)/CFTC (SD) Swap Associated Persons Designation administration
US SEC 15a6 approval administration
Annual General Fitness and Propriety Processes
Management information production/co-ordination as part of the Compliance Risk Assessment process
MAIN PURPOSE OF THE ROLE
The main purpose of the role is to:
Perform key Regulatory Processes - Compliance functions to ensure that the processes within its remit run effectively and efficiently
Propose and implement process improvements
Ensure appropriate documentation of risks, controls and processes, working with Audit, Risk and other stakeholders as appropriate
KEY RESPONSIBILITIES
These include:
Undertake the tracking and timely submissions of UK regulatory returns for which Core Compliance is responsible
Manage Regulatory tracking and filings
Compliance Training framework maintenance and development
Compliance Policy framework maintenance and development
Support Senior Manager and Certification Regime (SM&CR) administration
Manage Offshore licenses tracking and filing
Undertake Personal Account Dealing and Outside Business Interests application processes
Undertake Personal compliance processes e.g. New Joiner/Vendor checks/contract note
Support in the bi-annual compliance risk assessment exercise
Implementing continuous improvement within the remit of the Regulatory Processes team.
Reasonable additional ad hoc work as required
This list of responsibilities is expected to change over time as the Regulatory Processes Team evolves.
SKILLS AND EXPERIENCE
Essential
Ability to manage complex processes
Process improvement
Desirable
Knowledge of PA Dealing and OBI Processes
PERSONAL REQUIREMENTS
Excellent communication skills
Results driven, with a strong sense of accountability
A proactive, motivated approach
The ability to operate with urgency and prioritise work accordingly
Strong decision-making skills, the ability to demonstrate sound judgement
A structured and logical approach to work
Strong problem-solving skills
A creative and innovative approach to work
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
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.
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