Overview
MUFG is seeking an experienced Compliance professional to manage the EMEA Regulatory Compliance Processes function within Core Compliance to ensure that regulatory returns and filings are made in a well-controlled and demonstrable manner, and that business lines and control functions are provided with timely and accurate advice and management information in relation to regulatory processes.
In this role you will: Manage the EMEA Regulatory Processes Teams responsible for 1) Co-ordinating Compliance Risk Identification and Assessment; 2) Policy Development and Compliance Training; 3) Individual Licensing and Registrations and 4) Compliance Reporting in support of the Markets and Banking Businesses and Enterprise Functions operating in region. Key activities you will oversee are:
Responsibilities
* Production of Management Information
* Coordination of the annual Compliance Risk Assessment
* Regulatory Breach Management
* Compliance Policy framework development and maintenance
* Compliance Training framework development and maintenance
* Regulatory Filings
* Individual Regulatory Licensing Regimes:
* o UK Senior Manager and Certification Regime administration
* o US SEC (SBSD)/CFTC (SD) Swap Associated Persons Designation administration
* o US SEC 15a6 approval administration
* Annual Fitness and Propriety Assessment Processes for Senior Managers, Certified Persons and Conduct Staff
* Management of the firm's offshore regulatory licenses and management of waivers
* Maintenance of regulatory waivers and exemptions
* The main purpose of the role is to: Lead the Regulatory Compliance Processes Team
* Help to ensure that a strong governance culture is embedded within the region, that issues are escalated and cascaded appropriately and that key risks are identified, discussed and mitigated
* Ensure appropriate documentation and clear reporting of Core Compliance risks and controls
* Propose and implement actions to achieve continuous improvement in processes within the Team's remit
* Managing staff within the EMEA Regulatory Compliance Processes Team. Minimizing attrition and seeking to deepen the skills base of the Team and to raise their profile
* Leading the Team to achieve annual objectives
* Developing a culture of talent development and high performance within the Team
* Overseeing the Team's involvement in Business/Second Line led projects and periodic exercises, including the RCSA, ensuring timely and robust input and challenge by team members
* Contributing to the effective governance of the region. Paying an active role in regional committees where appropriate. Where you are the chair of a committee, ensuring the committee is effective; facilitating and encouraging informed and constructive debate on key issues and ensuring that members receive relevant information in an accurate, timely and clear form
* Promoting a good understanding of the EMEA governance framework, including escalation requirements and ensuring that there is clear, appropriate and well evidenced allocation of responsibilities amongst Team members
* Providing Compliance support to Business and Corporate projects, including those relating to regional governance
* Working with others, helping to manage MUFG's relationship with relevant Regulators, including through the provision of timely and accurate information to the Regulators
* Representing Core Compliance and providing appropriate guidance and/or challenge at relevant internal meetings
* Identifying and recommending opportunities for process improvement and risk control development
* Collaborating effectively with Global, International and Regional Compliance teams who will provide SME advisory input into annual compliance risk assessment, policy and training; reporting and annual compliance planning
* Contributing to enterprise-wide risk and control related initiatives
* Making decisions and resolving issues to help meet Business objectives
* Interpreting policies, procedures and compliance requirements
* Assisting Senior Management in the management of any relevant internal audits and regulatory examinations
* This list of responsibilities is expected to change over time as the Regulatory Compliance Processes Team evolves
* Postgraduate degree with further professional qualification an advantage
Qualifications
* 10+ years' experience in Compliance at leading international financial services institution(s).
* Strong people management experience.
* Extensive experience designing and executing core compliance programmes, including business line relevant regulatory risk identification and assessment processes, compliance issue management, breach handling, compliance reporting, regulatory licensing and registrations, compliance policy development and training.
* Clear understanding of the market and regulatory environment in which MUFG operates, including relevant sectors, countries, products and clients.
* Deep understanding of ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices.
* Familiarity with Individual Accountability Regimes and regulatory rules and expectations in relation to Conduct.
* Proven ability to identify inefficiencies and improve processes.
* Prior experience in a task oriented team working to multiple deadlines.
* Proficient in Excel, Word and PowerPoint.
* Personal requirements: Excellent communication and interpersonal skills; Results driven, with a strong sense of accountability; Strong attention to detail; A proactive, motivated approach; Ability to operate with urgency and prioritise work accordingly; Strong decision making skills, with sound judgement; A structured and logical approach to work; Strong problem solving skills; A calm approach, with the ability to perform well in a pressurised environment; Strong team player and collaborative attitude.
We are open to considering flexible working requests in line with organisational requirements.
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.
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