Assistant Vice President, Regulatory Processes

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.

What you'll do:

• Oversee key compliance functions that underpin the integrity of both MUFG Bank LTD and MUFG Securities EMEA Plc, ensuring regulatory requirements are met efficiently.
• Manage complex regulatory licensing regimes across UK and US jurisdictions, ensuring accurate certification of staff under UK SMCR, US Swap Associated Persons (CFTC/SEC) and 15‑a6 regimes.
• Coordinate annual fitness assessments for senior managers and certified personnel, working closely with HR and Compliance teams to guarantee timely execution.
• Submit regulatory returns within strict deadlines by gathering information from multiple departments and liaising with regulators.
• Develop compliance training plans for EMEA offices, monitor completion rates, and prepare waiver/application forms, maintaining logs of exemptions and managing offshore licence payments.
• Act as a subject‑matter expert on regulation and its application to MUFG Bank LTD and MUFG Securities EMEA Plc, identifying process improvements and contributing to continuous enhancement initiatives.
• Manage the UK Certification Regime, US Swap AP and 15‑a6 regimes, NFA Principals registration, and update the FCA Directory within required regulatory timeframes.
• Collaborate multidisciplinary teams across the UK, EMEA and globally to support the completion of Fitness & Propriety exercises and timely submission of periodic and ad‑hoc regulatory returns.
• Prepare and roll out the annual EMEA‑wide Core Compliance training needs assessment and associated training plan across all offices.

What you bring:

• Proven experience managing intricate compliance procedures in a collaborative environment.
• Deep familiarity with UK SMCR requirements and practical exposure to US Swap AP regulations.
• Advanced technical skills in Microsoft Office applications (Word, Excel, PowerPoint) to support meticulous documentation and reporting.
• Strong interpersonal and communication skills, fostering positive relationships across departments.
• Empathy in communicating complex requirements internally and externally.
• Understanding of management information (MI) creation processes and risk assessment methodologies.
• Demonstrated ability to identify inefficiencies within compliance operations and implement constructive improvements collaboratively.
• Exceptional attention to detail and proficiency in producing accurate reports for governance forums.
• Commitment to continuous improvement and ability to manage multiple high-priority items simultaneously with accuracy.

What sets MUFG apart:

MUFG is renowned for its unwavering commitment to integrity, transparency and responsible business practices. It offers extensive training opportunities tailored specifically for compliance professionals, supportive leadership, and a culture that values empathy and expertise. At MUFG, you’ll be part of a global community that champions flexibility alongside rigorous standards of compliance.

Equal Opportunities

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.