Associate, Regulatory Data Integrity Lead 12 month FTC

MAIN PURPOSE OF THE ROLE

This role supports the review, validation and relevant uplift of regulatory classifications and client records, where required, across the organisation. It ensures 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.

KEY RESPONSIBILITIES

• Regulatory Classification review and Validation
  • 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

• Exposure to regulatory audits or data quality reviews.

SKILLS AND EXPERIENCE

Functional / Technical Competencies

• Broad knowledge of Markets Regulations (MIFID II, EMIR, Dodd Frank, CFTC, SBSD, Volcker, FATCA/CRS).
• Experience working with large datasets and identifying data quality issues.
• Strong attention to detail and data accuracy mindset.
• Ability to interpret regulatory requirements and apply them to real data.
• Analytical and structured problem solving skills (including root cause analysis).
• Strong organisational and delivery capability.
• Able to communicate effectively to key stakeholders at all levels and drive positive outcomes.
• Face‑to‑face connects with Front Office, Clients, Compliance and other stakeholders as needed.
• Experience of preparing MI and presentations.

Education / Qualifications

• Degree Level or relevant industry experience.

PERSONAL REQUIREMENTS

• Excellent Microsoft Office skills.
• Excellent communication skills.
• Results driven, with a strong sense of accountability.
• A proactive, motivated approach.
• The ability to operate with urgency and prioritize work accordingly.
• Strong decision making skills, the ability to demonstrate sound judgement.
• A structured and logical approach to work.
• Strong problem solving skills.
• Excellent attention to detail and accuracy.
• A 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.