Compliance Officer - Control Room

MUFG•Irving, TX

2d•$133,000 - $175,000•Hybrid

About The Position

Mitsubishi UFJ Financial Group (MUFG) is seeking a highly motivated and detail-oriented Senior Compliance Advisory & Market Surveillance Analyst to support a diverse portfolio of regulatory compliance, market surveillance, governance, and regulatory change management activities across multiple MUFG entities. This role serves as a key liaison between Compliance, Regulatory Affairs, Operations, Technology, Risk Management, Human Resources, and business stakeholders. The successful candidate will provide regulatory guidance, manage compliance programs, oversee regulatory developments, conduct surveillance reviews, maintain critical compliance reporting processes, and support policy governance initiatives. The ideal candidate possesses strong analytical skills, working knowledge of U.S. securities regulations, market conduct surveillance frameworks, and the ability to manage multiple compliance obligations in a dynamic environment.

Requirements

Strong analytical skills
Working knowledge of U.S. securities regulations
Working knowledge of market conduct surveillance frameworks
Ability to manage multiple compliance obligations in a dynamic environment

Responsibilities

Provide best-efforts TRACE eligibility determinations for products reported through TRACE reporting systems in partnership with Regulatory Operations.
Review and assess applications for SEC Rule 15a-6 exemptions for personnel from international affiliate entities, including MUHK, MUMMS, and MUSI EMEA.
Serve as a subject matter resource and business owner for compliance matters, systems, and workflows, providing employee guidance, stakeholder training, walkthroughs, and support on regulatory requirements, compliance processes, and related tools.
Participate in audits, examinations, testing activities, and regulatory inquiries while supporting ongoing process improvements across Compliance and Regulatory Affairs programs.
Manage annual CalSTRS Form 600-H disclosure submissions.
Support Large Trader Reporting (Rule 13H) obligations and notice-of-change processes.
Serve as department liaison for Records and Information Management (RIM) requirements, including annual record inventories.
Conduct Third-Party Compliance Risk Management (TPCRM) assessments, assign risk ratings associated with third-party relationships, and coordinate remediation efforts while maintaining supporting documentation.
Maintain compliance documentation, evidence repositories, and reporting obligations.
Coordinate Written Supervisory Procedures (WSPs) updates, maintenance, publication, policy revisions, and global governance communications with business and compliance stakeholders.
Prepare annual Rule 3130 reporting and certifications.
Monitor regulatory developments from agencies including FINRA, SEC, CFTC, NFA, FinCEN, NYSE, Nasdaq, and other applicable regulators to analyze regulatory notices, no-action letters, staff interpretations, enforcement actions, and industry developments.
Maintain comprehensive regulatory change trackers, distribute updates to stakeholders, and manage the end-to-end regulatory change management process from proposed rules through implementation and validation.
Maintain enforcement action trackers across applicable entities and prepare summaries, analyses, and commentaries on regulatory settlements, disciplinary actions, rule violations, and penalties to support compliance reporting and risk assessments.
Provide regulatory and enforcement action content for monthly Americas and Global Compliance newsletters.
Review, approve, or deny Gifts & Hospitality submissions in accordance with applicable policies and Anti-Bribery & Corruption requirements.
Administer MCO workflows, coordinate with stakeholders, support testing and audits, conduct periodic policy reviews, and implement system and procedural enhancements.
Deliver employee training and guidance on Gifts & Hospitality reporting requirements.