Vice President, Compliance Advisory - US Regulations CFTC and SBSD Swap Dealer
Apply locations London time type Full time posted on Posted Yesterday job requisition id -WD
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, including 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 for example in drafting and updating policies, procedures and developing and delivering 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, including but not limited to loans, bonds, and structured finance, with particular experience in Sales and Trading.
- 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, including MiFID II, MAR and US regulations.
- Strong interpersonal and communication skills.
- Sharp intellect with the ability to grasp complex concepts.
- Ability to challenge independently and constructively, where appropriate, to achieve engagement and drive resolution.
- 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 (or more) in investment banking.
PERSONAL REQUIREMENTS
- Excellent communication skills.
- A proactive, motivated approach.
- The ability to operate with urgency and prioritize work accordingly.
- Strong decision-making skills and the ability to demonstrate sound judgment.
- A structured and logical approach to work.
- Excellent interpersonal skills valuing teamwork.
- 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.
- Sharp intellect with excellent researching skills necessary for US regulatory related tasks.
- Conscious of confidentiality involved in the nature of business and regulatory compliance related tasks.
- Ability to work/collaborate with a variety of stakeholders of all related regions and Head Office.
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, and oppose all forms of discrimination.
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.
About US
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!
