Legal Regulatory Advisor - Global Markets

Mitsubishi UFJ Financial Group•New York, NY

9d•Hybrid

About The Position

The Americas Legal Department is looking for a motivated entry-level to mid-level attorney to provide legal and regulatory advisory support to our Global Markets businesses conducted through MUFG’s regulated entities including two CFTC registered swap dealers, an SEC registered broker dealer, and one SEC security-based swap dealer. Relevant experience and a strong understanding of SEC, CFTC, FINRA and NFA rules are essential. The ideal candidate will be familiar with entity and transaction level rules and requirements, and how those requirements are applied extra-territorially within a substituted compliance regime. The candidate should have the necessary background and experience to assist stakeholders in the identification and management of legal and regulatory risk through the prompt identification and timely response to questions and matters escalated for legal review. The candidate will be a good communicator who works well with others and can manage sometimes conflicting perspectives in the furtherance of legal risk management and optimized business flow. The candidate should also have solid technical and organizational skills and be adept with using the MS Office suite of products and electronic document management.

Requirements

Knowledge of and practical experience of working in the sales, trading and investment banking businesses of a global organization and experience dealing with clients, counterparties and external legal counsel
An ability to look at unfamiliar or new product areas and be able to identify and analyze the relevant regulatory issues
Ability to demonstrate a high degree of commercial awareness and to make sound judgment calls in a fast-moving business environment, together with an ability to identify and manage legal, regulatory and contractual risk
An ability to recognize problematic issues and to plan and execute strategies for addressing
Excellent interpersonal communication skills and the ability to forge good relationships with internal and external stakeholders
Ability to manage large workloads and tight deadlines
Ability to work collaboratively on group projects and independently on individual assignments
Excellent attention to detail and accuracy
Strong analytical and problem-solving skills
Flexible, pragmatic and professional approach to work
Excellent organizational skills
A JD degree and eligibility to practice in New York

Nice To Haves

Relevant experience and a strong understanding of SEC, CFTC, FINRA and NFA rules are essential.
Familiarity with entity and transaction level rules and requirements, and how those requirements are applied extra-territorially within a substituted compliance regime.

Responsibilities

Liaise with and advise internal stakeholders from Sales, Trading, Compliance, Operations and other Risk Management functions
Liaise with external counsel and manage external counsel engagements to ensure efficient and cost-effective legal advice is provided to MUFG stakeholders
Draft and edit regulatory communications as needed
Provide general support to other members of the legal team who may require assistance with the investigation or analysis of litigation, employee and other legal or regulatory matters that concern Global Markets activities and personnel
Participate and advise on business initiatives and regulatory change projects, including impact assessments, legal research, policy and control development and implementation
Advise and update internal stakeholders impacted by regulatory advocacy efforts of relevant trade groups such as IIB and SIFMA
Participate in and advise internal working groups, management committees and governance working groups and forums where legal representation is requested or required
Participate and help support Americas Legal Department initiatives to improve operations and efficiency and vet and implement new technology solutions to improve the effectiveness of the department
Assist with ad hoc projects