Take responsibility for administering the UK Certification Regime by ensuring staff are appropriately certified in line with regulatory requirements.
Manage the designation and registration of staff under US Swap Associated Persons regime and 15-a6 regime, maintaining compliance with US SEC and CFTC standards.
Ensure NFA Principals are registered accurately according to US regulatory guidelines, updating records as needed.
Update the FCA Directory within required regulatory timescales, running reconciliation processes across all licensing regimes to maintain accuracy.
Act as subject matter expert on regulation and its application to both MUFG Bank LTD and MUFG Securities EMEA Plc, identifying areas for improvement in individual licensing processes.
Plan, scope, execute, track, and complete the Annual Fitness & Propriety exercise for Senior Managers and Certified staff, including recertification steps and certificate reissuance.
Collaborate with HR and Compliance teams in the UK and abroad to ensure timely completion of Fitness & Propriety processes for Conduct staff.
Support timely submission of periodic and ad-hoc regulatory returns by liaising internally with other departments to gather necessary information.
Assist in developing, approving, and rolling out the annual EM
Benefits
Vision insurance
Additional Information
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 150,000 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.
MUFG is seeking an Assistant Vice President Regulatory Processes to join their Core Compliance team in London. This is a unique opportunity to play a pivotal role in the management and coordination of regulatory compliance processes that span across teams and geographies, supporting both MUFG Bank and MUFG Securities EMEA plc. You will be at the heart of ensuring regulatory requirements are met efficiently, while contributing to continuous improvement initiatives and collaborating with colleagues across the UK, EMEA, and globally. MUFG offers a supportive and inclusive workplace where your expertise will be valued, and you will have access to ongoing training opportunities to further develop your skills. If you are looking for a role that combines responsibility, teamwork, and the chance to make a meaningful impact within a global financial institution, this position is ideal for you.
Join a globally respected financial institution with a strong commitment to compliance excellence and collaborative working practices, where your contributions will directly support both MUFG Bank and MUFG Securities EMEA plc.
Enjoy an inclusive environment with supportive leadership, where you will work closely with colleagues across multiple departments and regions, fostering inter-personal connections and sharing knowledge.
Benefit from comprehensive training opportunities and professional development programmes designed to enhance your regulatory expertise and help you grow within the organisation.
Mufgub · London, UK