Vice President, Sanctions Advisory (Escalations Team Lead) in London

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OVERVIEW OF THE DEPARTMENT/SECTION

The Financial Crimes Office for EMEA (FCOE) in London is part of the Global Financial Crimes Division (GFCD) headquartered in New York. FCOE works to ensure the organisation conducts its business in such a way that we protect our reputation, our business, and our clients within the regulatory and legal framework. It is responsible for the establishment and maintenance of effective systems and controls to protect clients’ assets and to mitigate the risk that MUFG might be used to further financial crime.

The Regional EMEA Sanctions Advisory Team, part of FCOE Sanctions, is structured into three specialized pillars: (1) Sanctions Due Diligence and Review, (2) Complex Review and Regulatory Reporting, and (3) Level 3 Escalations and Payment Transformation. These teams provide subject matter expertise to ensure compliance with regulatory requirements, internal policies, and risk appetite. Their responsibilities include managing key sanctions controls and processes such as regulatory reporting, KYC/Sanctions due diligence, new product approvals, and lending transaction risk assessments, Level 3 reviews, regulatory analysis, and providing SME input into payment-related projects, as well as supporting general sanctions queries across MUFG.

This role will lead the Level 3 Escalations and Payment Transformation Team, reporting directly to the Regional Head of Sanctions Advisory, with a primary focus on transaction and customer related escalations and payment-related projects.

NUMBER OF DIRECT REPORTS

4-6

MAIN PURPOSE OF THE ROLE

This role drives the implementation of MUFG Bank’s financial crime risk appetite, policies, and standards by managing a dedicated sanctions advisory escalation hub within the Sanctions Advisory team. The Level 3 Escalations and Payment Transformation Team is responsible for handling payment and client-related escalations and queries across the EMEA region. The team conducts regulatory analysis and provides subject matter expertise primarily related to live transactions/payments, payment transformation initiatives, and client matters. Its core mandate is to ensure sanctions and payment regulations are fully understood and adhered to, delivering clear, consistent, and informed advice. Additionally, the team ensures that payment transformation projects are executed effectively, safeguarding the bank’s compliance obligations.

The role holder will be accountable for:

• Regulatory Expertise: Staying current with all relevant sanctions laws and regulations and ensuring compliance across processes and initiatives.
• Team Leadership: Leading and developing the Level 3 Escalations and Payment Transformation Team, ensuring adherence to regulatory requirements and service level agreements while partnering with the business to manage expectations.
• Escalation Management: Overseeing Level 3 investigations for sanctions alerts identified as true risk following initial screening. This includes conducting regulatory analysis, determining appropriate actions, and ensuring timely resolution.
• Payment Transformation & Advisory: Providing subject matter expertise and guidance on payment-related initiatives and transformation projects to maintain compliance with sanctions regulations and payment scheme requirements. This requires a strong understanding of transactions, payment infrastructure, and associated systems.
• Transaction and Client Advisory: Reviewing transactions, payments, relationships, and trade finance deals to identify sanctions or payment concerns and implement appropriate measures to ensure compliance.
• Systems & Project Engagement: Ensuring MUFG systems comply with sanctions regulations and representing FCOE Sanctions as a subject matter expert in payment-related projects at regional and group levels.
• Stakeholder Engagement: Communicating with senior regional and global stakeholders, exercising delegated authority to make risk decisions, and representing EMEA Sanctions at governance forums.
• Case Oversight & Reporting: Managing investigations, escalating issues to senior management and Global Sanctions Advisory, and coordinating follow-up actions with compliance stakeholders across the region.
• Management Information & Continuous Improvement: Maintaining accurate MI on case status, providing updates on regulatory changes, policies, and processes, and driving continuous improvement and efficiency initiatives.

The role requires a high degree of autonomy and a strong understanding of sanctions regulations and associated risks. It also demands solid knowledge of sanctions, transactions, payments, and the broader banking and regulatory environment, including staying informed on developments and their potential impact on MUFG.

Key responsibilities include overseeing case investigations, determining processability, and escalating sanctions issues to Management and Global Sanctions Advisory. The role holder will collaborate with compliance and business stakeholders across the region to ensure appropriate follow-up actions are agreed and implemented locally. Additionally, the role holder will maintain accurate management information (MI) on case status, provide timely updates on regulatory changes, policies, and processes, and drive continuous improvement initiatives to enhance efficiency and effectiveness.

KEY RESPONSIBILITIES

In addition to the duties described above, you will contribute to the work of the GFCD department in any other ways reasonably expected, including memberships of projects and working groups and assisting with other priorities in the department or group as a whole.

Sanctions Team Lead: Key Responsibilities

• Ensure implementation and compliance with MUFG’s Global Policies, Standards, and Procedures governing the financial crime control framework across EMEA, with a focus on sanctions risk management and process efficiency.
• Lead and manage Level 3 sanctions escalations, monitor case and query volumes, and plan for future demand based on trend analysis.
• Provide timely, consistent sanctions advice on Level 3 escalations to key stakeholders.
• Maintain ongoing leadership and oversight of the sanction’s escalations team, offering specialized SME guidance.
• Participate in payment-related projects to ensure sanctions requirements are fully met.