Assistant Vice President, Regulatory Processes

MUFG is seeking an Assistant Vice President Regulatory Processes to join their Core Compliance team in London. This is a role focused on the management and coordination of regulatory compliance processes across teams and geographies, supporting MUFG Bank and MUFG Securities EMEA plc. The position involves contributing to continuous improvement initiatives and collaborating with colleagues across the UK, EMEA, and globally.

Responsibilities

• Oversee key compliance functions that underpin the integrity of MUFG Bank LTD and MUFG Securities EMEA Plc.
• Manage complex regulatory licensing regimes across UK and US jurisdictions, ensuring accurate staff certification under various frameworks.
• Coordinate annual fitness assessments for senior managers and certified personnel, working with HR and Compliance to guarantee timely execution.
• Submit regulatory returns within strict deadlines by gathering information from multiple departments.
• Contribute to developing compliance training plans for EMEA offices, monitor completion rates, prepare waiver applications, maintain logs of exemptions, manage offshore licences, and support management information production.
• Identify process improvements to support continuous enhancement initiatives within the Regulatory Processes Team.
• Administer the UK Certification Regime by ensuring staff are appropriately certified in line with regulatory requirements.
• Manage the designation and registration of staff under US Swap Associated Persons regime and 15-a6 regime, maintaining compliance with US SEC and CFTC standards.
• Ensure NFA Principals are registered accurately according to US regulatory guidelines, updating records as needed.
• Update the FCA Directory within required regulatory timescales, and run reconciliation processes across all licensing regimes to maintain accuracy.
• Act as subject matter expert on regulation and its application to both MUFG Bank LTD and MUFG Securities EMEA Plc, identifying areas for improvement in individual licensing processes.
• Plan, scope, execute, track, and complete the Annual Fitness & Propriety exercise for Senior Managers and Certified staff, including recertification steps and certificate reissuance.
• Collaborate with HR and Compliance teams in the UK and abroad to ensure timely completion of Fitness & Propriety processes for Conduct staff.
• Support timely submission of periodic and ad-hoc regulatory returns by liaising internally with other departments to gather necessary information.
• Assist in developing, approving, and rolling out the annual EMEA-wide Core Compliance training needs assessment and associated training plan across all offices.
• Prepare waiver/exemption application forms when required, maintain logs of open waivers/exemptions, monitor existing waivers for extension needs, and manage offshore licence payments.
• Demonstrate knowledge of the Senior Manager & Certification Regime (SMCR) and its application to UK regulations, and maintain familiarity with US regulatory requirements for cross-jurisdictional compliance management.

Qualifications and Skills

• Demonstrated knowledge of the Senior Manager & Certification Regime (SMCR) is essential for ensuring compliance with UK regulations.
• Proven ability to manage complex processes involving multiple high-priority items simultaneously while maintaining accuracy.
• Experience identifying inefficiencies within compliance operations and implementing constructive improvements collaboratively.
• Background working in task-oriented teams committed to meeting multiple deadlines through dependable teamwork.
• Exceptional attention to detail with proficiency in Excel, Word, and PowerPoint for documentation and reporting purposes.
• Strong interpersonal skills enabling you to work collaboratively across departments.
• Familiarity with US Swap AP (CFTC/SEC) regulatory requirements is desirable for cross-jurisdictional compliance management.
• Understanding of management information (MI) creation processes enhances your ability to produce accurate reports for governance forums.
• Knowledge of compliance risk assessment methodologies supports contribution to semi-annual risk evaluations across EMEA offices.
• Excellent communication skills combined with empathy to liaise effectively internally and externally during regulatory filings.

Diversity, Equity, and Inclusion

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 grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief, and marriage or civil partnership. Recruitment decisions are made in a non-discriminatory manner in accordance with our obligations under the law.