Position Overview
Assistant Vice President – Swap Dealer Regulations Compliance Advisory in MUFG’s London office. In this role you will support the operational efficiency of U.S. regulatory compliance and reporting across EMEA, working across banking and securities business lines.
Key Responsibilities
- Manage complex U.S. regulatory tasks and prepare essential reports for regulators such as CFTC/NFA and SEC.
- Advising stakeholders on compliance matters related to swap dealer regulations and providing proactive guidance.
- Develop, monitor and update compliance frameworks across all relevant business lines in EMEA.
- Collaborate with other Compliance teams to draft and update policies, procedures and deliver targeted training sessions.
- Represent the department at key committees, including the Swap Dealer Oversight Committee, acting as a primary point of contact for U.S. regulatory advisory matters.
- Support annual CFTC/NFA and SEC compliance reporting and conduct lookback exercises to ensure thorough review of compliance activities.
- Assist with CFA/NFA audits by providing accurate information and documentation as required.
- Identify and manage potential conflicts between MUFG Bank and MUFG Securities EMEA plc regulations, escalated appropriately.
- Create efficient workflows and operational models for U.S. regulatory compliance tasks under dual‑hat responsibilities.
Qualifications & Experience
- Proven experience as an Assistant Vice President or senior role in swap dealer regulations compliance, with deep familiarity in U.S. regulatory frameworks.
- Strong background in law or finance with knowledge of MAR, MiFID II, and U.S. swap dealer requirements.
- Demonstrated ability to deliver training sessions on regulatory topics and to communicate complex matters clearly.
- Excellent interpersonal and stakeholder engagement skills across diverse regions and departments.
- High level of organisational skills and attention to detail, ensuring accurate reporting and adherence to deadlines.
- Sound judgement and the ability to act dependably while recognising when escalation is required.
- Prior experience with audit support and reporting to regulators such as CFTC/NFA and SEC.
Benefits & Culture
Flexible working arrangements, comprehensive training programmes, supportive leadership and a culture that values integrity, transparency and collaboration.
Equal Opportunity & Diversity
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.
