Director EMEA Compliance Control Room Manager in London

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 150,000 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

MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

The group’s operating companies include, but are not limited to, MUFG Bank, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.

NUMBER OF DIRECT REPORTS 4

MAIN PURPOSE OF THE ROLE

This is a high visibility role that will be responsible for building out the EMEA regions 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. The incumbent will have a dotted reporting line to the International Head of Control Room.

KEY RESPONSIBILITIES

• The role will be acting across MUFG’s banking arm and securities business under a dual-hat arrangement.
• To oversee the development of a more mature CCR related tasks’ management framework.
• Delegated Authority from EMEA Head of Advisory to make decisions in relation to CCR staff management and CCR policies/procedures, GRL and CCR Workflow.
• Accountability to ensure the day-to-day management of CCR related tasks exercised correctly.
• 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.
• Assist in the development of International CCR policies and standards and a Global Control Room function.
• Provide advice, guidance and challenge to the businesses in regulatory compliance matters.
• Draft and update policies and procedures as necessary.
• Provide training to the front office on regulatory and conduct matters.
• Management of CCR staff – currently 4.

WORK EXPERIENCE

Essential: 5 years + relevant compliance experience within a Conflicts Office, Control Room or Banking Compliance / Private Side Compliance Advisory role in an investment banking organisation.

SKILLS AND EXPERIENCE

Functional / Technical Competencies:

• Strong understanding and knowledge of capital markets, structured finance and other investment banking products.
• 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.
• Strong interpersonal and communication skills.
• Sharp intellect with the ability to grasp complex concepts.
• Ability to challenge independently and constructively.
• 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.
• Strong decision-making skills.
• 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 skill necessary for the CCR related tasks.
• Conscious of confidentiality involved in the nature of business and CCR related tasks.
• Ability to work/collaborate with a variety of stakeholders of all related regions and Head Office.

PERFORMANCE AND DUTIES

The role holder will be assessed in accordance with their employing entity’s performance framework and process with relevant input obtained from the dual hatting entity as relevant. As duties and responsibilities change, the job description will be reviewed and emended in consultation with the role holder.

MANAGING CONFLICTS OF INTEREST

The role holder will have responsibilities for both MUFG Bank and MUFG Securities EMEA plc. The role holder will be required to perform their duties and responsibilities on an entity neutral basis, without favour.

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.