Compliance, Control Room - Vice President

MUFG•Irving, TX

32d•$116,000 - $160,000•Hybrid

About The Position

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. The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details. Job Summary: The CCR administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and actions are taken to mitigate compliance risk.

Requirements

Bachelor’s degree required, advanced degree (JD, MBA preferred)
5-7 years of Compliance and Control Room experience required
FINRA Broker Dealer experience
Strong knowledge of financial markets, investment banking, capital markets and products
Outstanding analytical and organizational skills
Experience delivering on projects
Excellent communications skills (verbal and written)

Nice To Haves

Experience working in a large international organization preferred
Experience with Excel or Access
Series 7 a plus

Responsibilities

Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
Provide consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information and Personal Trading).
Execute projects as assigned by supervisor and/or Compliance senior management.
Assist in the maintenance of the Watch and Restricted Lists to prevent and detect insider trading by employees. These activities include the administration of requirements under applicable insider trading policies, centralized reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, and metrics and escalation reporting.
Perform transactional conflicts of interest (TCOI) process including review of TCOI submissions, escalation to U.S. management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls and any required risk mitigation.
Participate in the drafting of compliance related policies and procedures.
Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matter; and respond to compliance related questions from management and staff.
Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee accordingly.
Provide information for compliance reporting to management and governance groups.