Develop efficient workflows and operational models for U.S. regulatory compliance tasks across both banking and securities business lines under a dual-hat arrangement.
Manage day-to-day U.S. regulatory tasks including preparing and submitting required reports to regulators such as CFTC/NFA and SEC.
Assist in the development and monitoring of the compliance framework across all relevant business lines operating in EMEA, ensuring adherence by impacted departments.
Provide proactive advice, guidance, and constructive challenge to businesses on regulatory compliance matters related to swap dealer regulations.
Collaborate closely with other Compliance teams, including Advisory team members, to draft and update policies, procedures, and deliver targeted training sessions.
Deliver training to front office staff on regulatory and conduct matters with particular focus on U.S. regulation including Swap Associated Persons.
Represent Advisory Compliance at the Swap Dealer Oversight Committee as required, acting as a key point of contact for U.S. regulatory advisory matters.
Assist in drafting annual CFTC/NFA and SEC Compliance reports and conducting lookback exercises to ensure thorough review of compliance activities.
Support CFA/NFA audits by providing accurate information and documentation as needed for regulatory reviews.
Identify potential conflicts between MUFG Bank and MUFG Securities EMEA plc requirements, escalating issues appropriately to maintain legal entity integrity.
What you bring:
Your proven experience as an Assistant Vice President Swap Dealer Regulations Compliance Advisory will demonstrate your deep familiarity with financial
Benefits
Vision insuranceFlexible schedule
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, one of the world's most respected financial groups, is seeking an Assistant Vice President for Swap Dealer Regulations Compliance Advisory to join their London office. This role offers you the opportunity to become a pivotal part of a global network, supporting operational efficiency in U.S. regulatory compliance and reporting across EMEA. You will be immersed in a culture that values integrity, transparency, and responsibility, with access to broad exposure across banking and securities business lines. MUFG's commitment to nurturing talent means you'll benefit from ongoing training opportunities, supportive leadership, and flexible working arrangements. If you are looking for a role where your expertise in compliance can make a meaningful impact while being part of a team that fosters shared growth and long-term relationships, this is your chance to thrive.
Join a globally renowned financial institution with over 150,000 employees and a rich history spanning 350 years, offering unparalleled opportunities for professional development and international exposure.
Work within a collaborative environment that prioritises integrity, transparency, and honest communication, ensuring your contributions are valued and recognised as part of a supportive team.
Benefit from flexible working opportunities and comprehensive training programmes designed to help you grow your skills and advance your career within the compliance advisory space.
Mufgub · London, UK