Director, Head of Compliance Investigations & Ethics

Do you want your voice heard and your actions to count

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG) one of the worlds leading financial groups. Across the globe were 150000 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 worlds most trusted financial group its 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.

The Financial Crimes Office for EMEA (FCOE) in London is part of the Global Financial Crimes Division (GFCD) headquartered in New York. It works to ensure that our organisation conducts its business such that we protect our reputation our business and our clients within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective systems and controls to protect clients assets and to mitigate the risk that MUFG might be used to further financial crime.

Number of Direct Reports

1 direct report

Main Purpose and Accountability of the Role

The role will define manage and oversee the firms whistleblowing program representing Compliance in employee-related internal investigations and managing/overseeing the firms Personal Account Dealing/Outside Business Interest program. The role includes managing the function and processes of the team and coordinating its direction within the wider EMEA Compliance team in close cooperation and at the direction of the Global Compliance Division. The role is also responsible for making decisions on recruitment and training to meet future capacity requirements. The role is a senior role and as such also participates as a member of the wider management team of the FCOE.

Key Responsibilities

In this role you will be responsible for Compliance Investigations across MUFGs banking arm and securities business in the Europe Middle East and Africa (EMEA) region under a dual-hat arrangement. Under this arrangement you will act and make decisions on behalf of both the bank and securities business subject to the same remit and level of authority and irrespective of the entity which employs you. Specifically you will be accountable and responsible for taking appropriate action with respect to MUFG Bank and Securities and Compliance obligations including:

• Whistleblowing

  Designing implementing and managing whistleblowing mechanisms that are consistent across the EMEA region ensuring alignment with FCA/PRA whistleblowing rules and local laws in each jurisdiction;

  Reviewing and updating whistleblowing policies procedures and associated guidance ensuring alignment with evolving regulatory requirements and industry best practices;

  Promoting a Speak Up culture by developing and delivering staff training and guidance to ensure employees understand conduct obligations reporting channels and protections against retaliation;

• Compliance Investigations

  Drafting and enhancing a compliance investigations framework providing standardised and consistent approaches to investigations across the EMEA region including protocols templates for investigation reports guidance for root cause identification and tracking remedial actions;

  Leading and coordinating investigations into alleged breaches of policy misconduct or regulatory requirements across EMEA from assigning investigators to confirming case closure in consultation and collaboration with Legal HR and senior business leaders;

  Overseeing the implementation of monitoring and enforcement activities and tracking to support regulatory and internal reporting requirements for employee conduct.

• Personal Account Dealing (PAD) and Outside Business Interests (OBI)

  Leading personal account dealing (PAD) disclosure and pre-clearance programs including trading activity to monitor potential conflicts of interest;

  Overseeing the approval process for outside business interests (OBI) designed to ensure they do not compromise an employees duties or create conflicts of interest;

  Identifying assessing and mitigating non-transactional conflicts of interest across all business units;

  Harmonising PAD and OBI control frameworks across the EMEA region to ensure consistent application of principles while maintaining regulatory and legal requirements in each jurisdiction;

  Reviewing and updating PAD and OBI policies procedures and associated guidance ensuring alignment with evolving regulatory requirements and industry best practices;

  Horizon scanning for developments and risks of conflict of interest for existing and new market investment mechanisms to ascertain appropriate risk management and ensuring policies and procedures are updated and tailored appropriately;

  Liaising with technology teams HR and line managers to develop and drive enhancements to PAD/OBI processes;

  Developing and delivering staff training and guidance to ensure staff awareness of and compliance with PAD/OBI obligations;

• Supporting the development and enhancement of the wider ABC & Ethics framework by coordinating tasks aligning the teams pillars of Anti-Bribery and Corruption Compliance Investigations Data Privacy and Records and Information Management.
• Maintaining and enhancing good working relationships with stakeholders across the region and globally to share best practices providing support and developing effective local policies and procedures appropriate to the Company and working in support of the One MUFG and overall Group strategy.

Performance and Duties

The role holder will be assessed in accordance with their employing entitys performance framework and process with relevant input obtained from the dual hatting entity as relevant.

As duties and responsibilities change the job description will be reviewed and amended in consultation with the role holder. The role holder will carry out other duties as are within the scope spirit and purpose of the role as requested by their line manager or Department Head.

Work Experience

Essential:

• More than 10 years relevant experience in a financial services firm regulatory agency or law firm.
• Proven experience administering PAD/OBI frameworks managing whistleblowing and Speak Up frameworks and conducting compliance investigations;

Skills and Experience

Functional/Technical Competencies:

• Strong knowledge of FCA/PRA rules on employee conduct whistleblowing and conflicts of interest;
• Strong practical understanding of risk compliance and controls;
• Familiarity with whistleblowing frameworks in the UK and EMEA region;
• Extensive experience of managing both colleagues and projects interacting with stakeholders at a senior level;
• Excellent analytical reporting and project management skills

Education/Qualifications:

Essential:

• Bachelors degree or equivalent experience

Preferred:

• Masters Degree or equivalent experience
• Legal compliance or risk qualification (e.g. ICA CISI ACAMS)

Personal Requirements

• A calm approach with the ability to perform well in a pressured environment
• A confident approach with the ability to provide clear direction to your team
• Excellent managerial experience
• The ability to lead a high performing team
• Proactively identifies and communicates improvements to process on the grounds of efficiency and effectiveness
• 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
• Excellent interpersonal skills
• The ability to manage large workloads and tight deadlines
• Excellent attention to detail and accuracy
• Cultural awareness and ability to operate effectively across the EMEA region
• High integrity and discretion in managing sensitive issues

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.