Compliance Investigations & Ethics Manager

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

The Compliance Office for EMEA oversees adherence to laws, regulations, and internal standards for MUFG’s operations throughout the region. The Compliance Investigations & Ethics function manages Personal Account Dealing (PAD), Outside Business Interests (OBI), whistleblowing, internal employee‑related investigations, and broader conduct‑related ethics matters across EMEA for both the Bank and Securities entities.

MAIN PURPOSE OF THE ROLE

Day‑to‑day delivery, coordination, and enhancement of PAD/OBI controls, the whistleblowing framework, and compliance investigations. This role focuses on operational execution, including case management, maintaining control frameworks, delivering training, preparing management information (MI), and liaising with stakeholders across Compliance, HR, Legal, and the business. The AVP acts as a key contributor ensuring consistent application of policies, effective issue resolution, and strong governance practices across EMEA.

KEY RESPONSIBILITIES

• Personal Account Dealing (PAD) & Outside Business Interests (OBI): Responsibility for administering PAD pre‑clearance processes; logging, reviewing, and, if necessary, escalating trade requests, including authority to approve PAD pre‑clearance requests. Responsibility for reviewing OBI applications, conducting conflict assessments, and escalating where required, including authority to approve OBI requests. Responsibility for maintaining registers, performing reconciliations, and supporting quality assurance checks. Responsibility for updating PAD/OBI procedures, training, and the control framework. Coordinate technology enhancements and work with HR and technology teams on process improvements.
• Whistleblowing (Speak Up) Programme: Support operation of the EMEA whistleblowing framework, including responsibility for triage, logging, and tracking of Speak Up reports. Responsibility for updating policies, procedures, and staff guidance to ensure alignment with FCA/PRA requirements and local laws. Responsibility for preparing materials and supporting delivery of whistleblowing training and awareness initiatives across EMEA. Responsibility for coordinating Speak Up initiatives with colleagues in Legal and HR for unified approaches to integrity and transparency matters. Responsibility for maintaining dashboards, MI packs, trend analysis, and reporting for senior management and regulatory obligations.
• Compliance Investigations: Responsibility for conducting or supporting investigations into potential breaches of policy, misconduct, or regulatory obligations. Prepare scoping notes, interview summaries, evidence logs, and draft investigation reports. Coordinate with HR, Legal, and other stakeholders to ensure timely and consistent resolution. Track corrective actions, root cause issues, and lessons learned across cases. Support enhancement of investigation templates, guidance, and procedural frameworks.
• Ethics, Conflicts of Interest & Conduct Governance: Support horizon scanning for conduct‑related risks and prepare summaries or impact assessments. Assist in implementing enhancements to the broader Ethics framework. Responsibility for preparing MI, risk assessments, and documentation for committees and governance forums.
• Stakeholder Engagement: Liaise with colleagues across EMEA and globally to exchange best practices and support group‑wide initiatives. Respond to information requests from regulators, Internal Audit, and senior management.
• Dual‑Hat Responsibilities: Support both MUFG Bank and MUFG Securities EMEA plc on an entity‑neutral basis in accordance with the dual‑hatting framework. Escalate conflicts of interest or diverging entity requirements to line management where necessary.

WORK EXPERIENCE

Essential: 8+ years’ experience in Compliance, Investigations, Conduct, Financial Crime, or a legal/regulatory environment. Experience managing PAD/OBI controls, whistleblowing frameworks, or conflicts of interest controls in a regulated environment. Demonstrated experience supporting or conducting compliance or employee‑related investigations.

Preferred: Experience in a global financial institution or multi‑jurisdictional compliance environment.

SKILLS AND EXPERIENCE

Functional / Technical Competencies:

Essential: Strong understanding of FCA/PRA expectations on whistleblowing, conduct, and conflicts of interest. Knowledge of investigative techniques, evidence handling, drafting of reports, and root cause analysis. Strong analytical, organisational, and project coordination skills. Ability to apply judgement in complex or sensitive matters and elevate appropriately.

Preferred: Experience implementing enhanced technological tools for PAD/OBI workflow. Prior delivery of compliance framework enhancements in a regulated environment. Familiarity with whistleblowing requirements in EU and EMEA jurisdictions.

Education / Qualifications:

Essential: Bachelor’s degree or equivalent professional experience.

Preferred: Relevant compliance, investigations, or risk qualifications (e.g., ICA, CISI, ACAMS).

PERSONAL REQUIREMENTS

High integrity and discretion when handling sensitive matters. Excellent communication skills. Attention to detail and disciplined record‑keeping. A structured and logical approach to work. Results driven, with a strong sense of accountability. A proactive, motivated approach. The ability to operate with urgency and prioritise work accordingly. Strong decision‑making skills, the ability to demonstrate sound judgement. Strong problem‑solving skills. A creative and innovative approach to work. Excellent interpersonal skills. 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. Excellent Microsoft Office skills.

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 amended in consultation with the role holder. The role holder will carry out other duties as are within the scope, spirit and purpose of the role as requested by their line manager or Department Head.

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. The role holder is required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of MUFG Bank and MUS. Working terms are dictated by functional mandates, the terms of the Dual‑Hat Arrangement Agreement in place between MUFG Bank and MUFG Securities EMEA plc and any other relevant agreements entered into between MUFG Bank and MUFG Securities EMEA plc. The role holder will have responsibility for identifying and resolving where there may be a difference or conflict in needs between MUFG Bank and MUFG Securities EMEA plc, escalating to their manager where required.

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. 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. At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client‑obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!

Our Culture Principles: Client Centric, People Focused, Listen Up. Speak Up. Innovate & Simplify, Own & Execute.