Assistant Vice President, Regulatory Processes (12month FTC)

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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