Perform detailed analysis and review of client regulatory classifications such as for MiFID II, EMIR, Dodd Frank.
Validate existing data records against regulatory requirements and internal policies and procedures.
Identify inconsistencies, gaps and misclassifications across systems and data sources.
Execution of Corrective Action Plan
Manage resolution of any classification and record-keeping issues including root cause analysis.
Define and implement corrective actions (data fixes, client engagement, process enhancements).
Support with client engagement through tracking of email delivery, follow ups, responses.
Work with technology and data governance teams to ensure validated classifications are reflected in relevant systems
Governance and Reporting:
Maintain clear tracking of issues, corrective actions and dependencies.
Prepare governance materials for internal forums and senior stakeholders
Ensure transparency and traceability from issue identification through to closure.
Ensure all remediation actions are supported by robust, auditable evidence.
Stakeholder Co-ordination
Work closely with Compliance, Legal, Operations and Technology teams
Engage with onboarding / KYC teams to gather historic evidence and support with root cause analysis
Escalate risks, blockers and systemic issues in a structured manner
Active involvement in driving procedural and policy improvements:
Actively seek out opportunities to improve the regulatory Onboarding process; including the strengthening & implementation of controls and improving efficiency.
WORK EXPERIENCE
Essential:
Significant experience in client data, regulatory classification, onboarding or remediation within financial services
Familiarity with regulatory frameworks such as MiFID II, EMIR, Dodd Frank-Act
Preferred:
Benefits
Vision insuranceEquity / stock options
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 (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia.. The group has over 150,000 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 vison to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's 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.
MUFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The group's operating companies include, but are not limited to, Bank of Tokyo-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.
Please visit our website for more information - mufgemea.com.
The Regulatory Management Team forms part of Client Lifecycle Management function which is situated within the Corporate and Investment Banking Division of MUFG Bank. However, this function acts as a centralized 1st line support team, providing support to MUFG Securities both in London and in Amsterdam and MUFG Bank, London Branch.
MAIN PURPOSE OF THE ROLE
This role is support the review, validation and relevant uplift of regulatory classifications and client records, where required, across the organisation. Ensure that regulatory statuses are accurately captured, governed and evidenced in line with applicable regulations, while driving remediation of any identified gaps in a controlled and sustainable manner.
Mufgub · London, UK