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 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.

OVERVIEW OF THE DEPARTMENT/SECTION

The Regulatory Processes Team is responsible for the management and coordination of Core Compliance processes which have broad relevance across or between teams.

This includes:

• UK Regulatory filings

• Compliance Training framework maintenance and development

• Compliance Policy framework maintenance and development

• Personal Account Dealing and Outside Business Interests Processes

• Individual regulatory license 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 General Fitness and Propriety Processes

• Management information production/ co-ordination as part of the Compliance Risk Assessment process

MAIN PURPOSE OF THE ROLE 

The main purpose of the role is to:

Perform key Regulatory Processes - Compliance functions to ensure that the processes within its remit run effectively and efficientlyPropose and implement process improvementsEnsure appropriate documentation of risks, controls and processes, working with Audit, Risk and other stakeholders as appropriate

KEY RESPONSIBILITIES

These include:

Undertake the tracking and timely submissions of UK regulatory returns for which Core Compliance is responsibleManage Regulatory tracking and filingsCompliance Training framework maintenance and developmentCompliance Policy framework maintenance and developmentSupport Senior Manager and Certification Regime (SM&CR) administration Manage Offshore licenses tracking and filingUndertake Personal Account Dealing and Outside Business Interests application processesUndertake Personal compliance processes e.g. New Joiner/Vendor checks/contract noteSupport in the bi-annual compliance risk assessment exerciseImplementing continuous improvement within the remit of the Regulatory Processes team.Reasonable additional ad hoc work as required

This list of responsibilities is expected to change over time as the Regulatory Processes Team evolves

SKILLS AND EXPERIENCE

Essential

Ability to manage complex processesProcess improvement

Desirable

Knowledge of PA Dealing and OBI Processes

PERSONAL REQUIREMENTS

Excellent communication skillsResults driven, with a strong sense of accountabilityA proactive, motivated approach.The ability to operate with urgency and prioritise work accordinglyStrong decision-making skills, the ability to demonstrate sound judgementA structured and logical approach to workStrong problem-solving skillsA creative and innovative approach to workExcellent interpersonal skillsThe ability to manage large workloads and tight deadlinesExcellent attention to detail and accuracyA calm approach, with the ability to perform well in a pressurized environment

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, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

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.