Vice President, Private Side Advisory in City of Westminster

Role Overview

As Vice President Private Side Advisory at MUFG in London, you will play an instrumental role in shaping the compliance landscape for investment banking activities across both banking and securities operations.

Your day‑to‑day responsibilities will centre around providing expert advisory support to private side businesses—particularly Corporate & Investment Banking—ensuring that all processes adhere strictly to regulatory standards.

You will act as the go‑to advisor for compliance matters, offering practical solutions while maintaining open communication channels with stakeholders at every level.

In addition to policy development and training delivery, you will participate in strategic projects that drive regulatory change across the organization.

Responsibilities

• Provide expert advisory support to private side businesses, especially Corporate & Investment Banking, ensuring all activities comply with relevant regulations.
• Act as the primary point of contact for compliance queries and offer expert guidance on complex regulatory matters.
• Participate in local and global projects, driving the operational implementation of key regulatory change initiatives affecting the bank and securities business.
• Draft, review, and update policies and procedures to align with evolving regulatory requirements and best practices.
• Deliver face‑to‑face training sessions to front‑office staff on regulatory obligations and conduct expectations, fostering a culture of compliance throughout the organization.
• Support internal and external enquiries or investigations by providing accurate information and collaborating with relevant stakeholders.
• Operate under a dual‑hat arrangement, making decisions on behalf of MUFG Bank and MUFG Securities EMEA plc within your remit and authority level.
• Identify potential conflicts of interest between entities, escalating issues appropriately to maintain legal entity integrity.
• Maintain highly organised records of compliance activities, ensuring accuracy and timely completion of all required documentation.
• Contribute to departmental objectives by sharing knowledge, supporting colleagues, and participating in continuous improvement initiatives.

Qualifications

• Substantial experience in compliance advisory roles within leading investment banks or comparable financial organisations.
• Deep familiarity with investment banking products and robust knowledge of risk‑management strategies tailored for capital markets environments.
• Ability to interpret complex regulations such as Mi FIDII or MAR in real‑world scenarios while maintaining meticulous attention to detail under pressure.
• Exceptional interpersonal skills for building trust‑based relationships across diverse teams and ensuring clarity in policy updates or training sessions.
• Proactive mindset combined with organisational acumen to handle competing priorities efficiently while upholding MUFG core values.
• Strong communication skills—written and verbal—for drafting policies, delivering training sessions, and responding effectively during investigations or enquiries.
• Demonstrated experience operating autonomously with sound judgement and knowing when escalation is necessary.
• Highly organised approach with strong prioritisation skills, enabling effective management of large workloads under tight deadlines without compromising accuracy or quality.
• University degree or equivalent qualification providing the educational foundation required for a senior advisory position.
• Comprehensive understanding of investment banking products such as loans and structured finance to provide effective guidance across private side businesses.
• In‑depth knowledge of risk‑management principles, compliance frameworks, and internal controls relevant to capital markets operations.
• Thorough familiarity with key regulations affecting capital markets products—including Mi FIDII, MAR, Competition Law—and their practical application within an international context.

EEO Statement

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.

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