Assistant Vice President, Compliance Control Room

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.

MUFG (Mitsubishi UFJ Financial Group) is one of the worlds leading financial groups. Headquartered in Tokyo and with approximately 350 years of history MUFG is a global network with around 2300 offices in over 50 countries including the Americas Europe the Middle East and Africa Asia and Oceania and East Asia. The group has over 150000 employees offering services including commercial banking trust banking securities credit cards consumer finance asset management and leasing.

As one of the top financial groups globally with a vision to be the worlds most trusted we want to attract nurture and retain the most talented individuals in the market. The size and range of MUFGs global business creates opportunities for our employees to stretch themselves and reap the rewards whilst our common values to behave with integrity and responsibility and to build a culture which is fair transparent and honest underpin everything that we do. We aim to be the financial partner of choice for our clients whatever their requirements building long-term relationships serving society and fostering shared and sustainable growth for a better world.

The Core Compliance department at MUFG plays a critical role in safeguarding the integrity and reputation of the investment bank. It is responsible for ensuring that the firm operates within the framework of applicable laws regulations and internal policies.

Within Core Compliance the EMEA Compliance Control Room is a critical function which is responsible for conflicts of interest Inside Information / Insider list Watch list wall crossing Treeing and Restrict List management. The Control Room team works closely with key stakeholders such as Capital Markets and Global Corporate Investment Banking Private-Side business divisions as well as other Compliance functions.

NUMBER OF DIRECT REPORTS

N/A

MAIN PURPOSE OF THE ROLE

As an Assistant Vice President within MUFGs EMEA Compliance Control Room you will be responsible for tasks related to the EMEA regions Conflicts of Interest Inside Information Insider list Watch list Wall Crossing Treeing and Global Restrict List management framework (collectively CCR related tasks). The role will have direct exposure to all levels of the business and will be the primary contact for the CCR related tasks and related Advisory compliance matters.

KEY RESPONSIBILITIES

The role will be acting across MUFGs banking arm and securities business under a dual-hat arrangement. Under this arrangement you will perform the daily tasks on behalf of both the bank and the securities business subject to the same remit and level of authority irrespective of the entity which employs you.

Job responsibilities:

To contribute tothe daily CCR related tasks framework

• Perform the day to day of CCR related tasks
• Contribute to further development of the CCR related tasks management framework across all business lines operating in EMEA supporting both the compliance teams across EMEA and educating the various businesses that operate in the region
• Provide advice guidance and challenge to the businesses in regulatory compliance matters with a particular focus on CCR related matters (including but not limited to identification of risk escalation and management) under the supervision of the EMEA Head of Compliance Control Room
• Contribute to draft and update policies and procedures as necessary
• Provide support and delegation to the EMEA Head of Advisory as necessary
• Provide training to the front office on regulatory and conduct matters with a particular focus on CCR related tasks

WORK EXPERIENCE

Essential:

• Relevant compliance experience within a Conflicts Office Control Room or Banking Compliance / Private Side Compliance Advisory role in an investment banking organisation

SKILLS AND EXPERIENCE

Functional / Technical Competencies

Essential:

• Knowledge of capital markets structured finance and other investment banking products including but not limited toloans bonds and structured finance and Sales and Trading.
• Sufficient knowledge of MAR and MiFID II compliance
• Knowledge of risk compliance and controls
• Understanding of key regulations applicable to capital markets products including MiFID II MAR
• Interpersonal and communication skills
• Intellect with the ability to grasp complex concepts
• Ability to challenge independently and constructively where appropriate in order to achieve engagement and drive resolution
• Ability to act autonomously when appropriate and know when to escalate matters
• Highly organised goal oriented and solutions focused

Education / Qualifications

Essential:

• Strong educational background with a university degree preferably in Law and/or Financial Regulation

PERSONAL REQUIREMENTS

• Excellent communication skills
• 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 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 pressurised environment
• Sharp intellect with excellent researching skill necessary for the CCR related tasks
• Conscious of confidentiality involved in the nature of business and CCR related tasks
• Ability to work/ collaborate with variety of stakeholders of all related regions and Head Office

We will consider any formal flexible working requests in line with organisational requirements.

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 emended 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.

MANAGING CONFLICTS OF INTEREST

• The role holder will have responsibilities for both MUFG Bank and MUFG Securities EMEA plc.
• The role holder will be required to perform their duties and responsibilities on an entity neutral basis without favour.
• The role holder is required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of MUFG Bank and MUS.
• Working terms are dictated by functional mandates the terms of the Dual-Hat Arrangement Agreement in place between MUFG Bank and MUFG Securities EMEA plc and any other relevant agreements entered into between MUFG Bank and MUFG Securities EMEA plc.
• The role holder will have responsibility for identifying and resolving where there may be a difference or conflict in needs between MUFG Bank and MUFG Securities EMEA plc escalating to their manager where required.

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.