At a Glance
- Tasks: Manage U.S. regulatory compliance and prepare essential reports for key regulators.
- Company: Join MUFG, a leading global financial group with a commitment to integrity and collaboration.
- Benefits: Enjoy flexible working, comprehensive training, and a supportive leadership culture.
- Other info: Embrace diversity in an inclusive workplace that values your opinions and contributions.
- Why this job: Make a real impact in compliance advisory while working with diverse teams across EMEA.
- Qualifications: Experience in swap dealer regulations compliance and strong communication skills required.
The predicted salary is between 80000 - 100000 £ per year.
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.
- Advise stakeholders on compliance matters related to swap dealer regulations and provide 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.
Assistant Vice President - US Swap Dealer Regulations – Compliance Advisory in London employer: MUFG Securities EMEA plc
MUFG is an exceptional employer, offering a dynamic work environment in London that fosters professional growth and collaboration. With flexible working arrangements, comprehensive training programmes, and a strong commitment to diversity and inclusion, employees are empowered to thrive while contributing to the operational efficiency of U.S. regulatory compliance across EMEA. The supportive leadership and culture of integrity ensure that every team member's voice is valued, making it a rewarding place to build a meaningful career.
StudySmarter Expert Advice🤫
We think this is how you could land Assistant Vice President - US Swap Dealer Regulations – Compliance Advisory in London
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, especially those already at MUFG. A friendly chat can open doors and give you insider info on the role.
✨Tip Number 2
Prepare for interviews by brushing up on U.S. swap dealer regulations. We want you to show off your knowledge and how it applies to the role. Practice common interview questions too!
✨Tip Number 3
Don’t forget to showcase your training skills! Think about how you can communicate complex compliance topics clearly. We love candidates who can break things down for others.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, we’re always looking for passionate individuals who align with our values of integrity and collaboration.
We think you need these skills to ace Assistant Vice President - US Swap Dealer Regulations – Compliance Advisory in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the role of Assistant Vice President in swap dealer regulations compliance. Highlight your experience with U.S. regulatory frameworks and any relevant training you've delivered. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention specific experiences that relate to managing complex regulatory tasks and your ability to engage stakeholders effectively. Let us know why you’re excited about joining our team!
Showcase Your Skills:Don’t forget to highlight your organisational skills and attention to detail. These are crucial for ensuring accurate reporting and compliance. We love candidates who can demonstrate their sound judgement and ability to manage conflicts, so share examples from your past roles!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates. Plus, we love seeing applications come directly from our site!
How to prepare for a job interview at MUFG Securities EMEA plc
✨Know Your Regulations
Make sure you brush up on U.S. swap dealer regulations, including CFTC/NFA and SEC requirements. Being able to discuss these frameworks confidently will show that you're not just familiar with the rules but can also apply them in real-world scenarios.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've managed compliance tasks or delivered training sessions. This will help demonstrate your hands-on experience and how it aligns with the responsibilities of the Assistant Vice President role.
✨Engage Stakeholders
Think about how you've successfully engaged with stakeholders in previous positions. Be ready to share strategies you've used to communicate complex compliance matters clearly, as this is crucial for the role.
✨Demonstrate Organisational Skills
Highlight your attention to detail and organisational skills during the interview. Discuss how you've created efficient workflows or managed compliance reporting to meet deadlines, as this will resonate well with the expectations of the position.
