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 120,000 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:

Compliance Testing and Quality Assurance (CTQA) is responsible for leading and/or delivering a comprehensive risk based assurance programme across the bank and securities business activities of MUFG in London and the EMEA region. The work of the department extends to conducting reviews, deep dives, communications monitoring, investigations and trade surveillance. Effective delivery of this programme requires collaboration with other Compliance Departments and engagement with all business and operational areas.

Main Purpose of the Role :

To contribute to the overall success of CTQA  and its objectives by delivering  a risk based programme of second line compliance for MUFG’s EMEA region. The role includes support of both the Global Head Offices’ assurance programmes and EMEA based testing which may also include opportunities to travel to offices located within EMEA. The role may involve ad-hoc investigations, projects and thematic reviews. You may also be asked to support wider initiatives and undertake other tasks and responsibilities in CTQA.

Key Responsibilities:

In this role, you will be responsible for the compliance assurance and testing programme across MUFG’s banking and securities business under a dual-hat arrangement. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you.

You will be expected to contribute to the overall compliance assurance and testing framework by:

Supporting the swap dealer compliance assurance programme (CFTC / SEC regulations)Acting as or working towards being an SME in the swap dealer regulationsInterpreting swap dealer rules and executing testing as directed by ManagementSupporting the production of any MI in realtion to swap dealer programme and assisting in production of committee materials or other records as requestedLeading, managing and owning technically complex, well-articulated and comprehensive reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholdersScoping reviews and developing test programmesTracking, managing and taking ownership of the remediation of compliance issues by working with relevant business stakeholdersRegularly meeting with and engaging with key business stakeholders in order to identify key risk areas and building/maintaining strong relationships with key stakeholdersContributing to the quarterly and annual risk assessments Working directly with off-shored teams to manage the quality of their output and the delivery of assigned workGuiding, managing and developing off-shored staff as allocatedCoaching, supporting and training junior members of the teamProviding support to both the Bank and Securities Head OfficesWorking in collaboration with the First Line to support their assurance programmeProviding regular MI for management and Head OfficeAssisting in the creation and delivery of the department’s Assurance Plan by identifying key areas of focus for reviews,Identifying compliance and conduct risk topics and communicating to the team, division and senior management on any industry updates.Supporting and expanding the use of the internal data analytics system to drive testing efficienciesActively participating in current CTQA projects and wider initiatives such as data analytics, compliance framework implementation, risk rollout in EMEA and globallyRepresenting Core Compliance at relevant committees and forums across the Bankand SecuritiesSupporting the build out of the CTQA’s presence in EMEAOther ad-hoc tasks as requested by management

Skills and Experience:

Functional / Technical Competencies

Excellent Microsoft Office (including Excel) skillsStrong relationship management skills, including with senior stakeholdersEffective time management skills, with the ability to produce high quality output and meet tight deadlinesProblem solving, analysis and reporting skillsAbility to exercise sound judgement, balance risk and practicality to determine appropriate actions/ solutionsExcellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing to articulate how an identified issue increases risk for the firmGood understanding of Investment Banking and Markets risks and regulations Ability to scope reviews, create test scripts and review the work of othersStrong compliance testing experience requiredBroad understanding of the FCA Handbooks, Regulatory approaches & OFAC Standards

Experience

Essential:

3 years+ of experience in a Compliance Assurance and Testing role and ideally experience/knowledge in CFTC / SEC regulations

Desirable

4 years+ experience in a Compliance Assurance and Testing role

Education / Qualifications

Relevant industry qualifications relating to Compliance preferred, e.g. CISI

Personal Requirements:

Excellent communication skillsResults driven, with a strong sense of accountabilityA proactive, motivated approach.The ability to operate with urgency and prioritise work accordinglyStrong decision making skills with the ability to demonstrate sound judgementA structured and logical approach to workStrong problem solving skillsA creative and innovative approach to workExcellent interpersonal skillsThe ability to manage large workloads and tight deadlinesExcellent attention to detail and accuracyA calm approach, with the ability to perform well in a pressurised environmentA confident approach, with the ability to provide clear direction to others in the teamA strategic approach, with the ability to lead and motivate those within your teamThe ability to articulate and implement the vision/strategy for the CA&T department

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.