Vice President, Compliance Control Room Manager

Join Our Team at MUFG

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 120,000 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.

Main Purpose of the Role

This is a high visibility role responsible for building out the EMEA region's conflicts of interest, Insider list, Watch list, MNPI, wall crossing, Treeing, and Restrict List management (collectively “CCR related tasks” framework). The role will have direct exposure to all levels of the business and will be the primary contact for the CCR related tasks management and related Advisory compliance matters.

Key Responsibilities

The role will be acting across MUFG’s banking arm and securities business under a dual-hat arrangement. Under this arrangement, you will make decisions 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.

• Oversee the development of a more mature CCR related tasks’ management framework, including a holistic framework that oversees all activity conducted across all businesses.
• Oversee the day-to-day management of CCR related tasks.
• Provide support and delegation to the Head of Advisory as necessary.
• Develop 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 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).
• Draft and update policies and procedures as necessary.
• Provide training to the front office on regulatory and conduct matters with a particular focus on CCR related tasks.
• Management of CCR staff – currently 2.

Work Experience

Essential: Extensive experience in compliance within a Conflicts Office, Control Room, or Banking Compliance / Private Side Compliance Advisory role in an investment banking organization.

Skills and Experience

Functional / Technical Competencies:

Essential

• Strong understanding and knowledge of capital markets, structured finance, and other investment banking products, including but not limited to loans, bonds, and structured finance, and Sales and Trading.
• In-depth knowledge of MAR and MiFID II compliance.
• Strong knowledge of risk, compliance, and controls.
• Strong understanding of key regulations applicable to capital markets products, including MiFID II, MAR.
• Strong interpersonal and communication skills.
• Sharp 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 skills necessary for the CCR related tasks.
• Conscious of confidentiality involved in the nature of business and CCR related tasks.
• Ability to work/collaborate with various stakeholders of all related regions and Head Office.

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 and respected. 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.

Our Culture Principles

• Client Centric
• People Focused
• Listen Up. Speak Up.
• Innovate & Simplify
• Own & Execute