Legal Regulatory Advisor – Vice President – Global Markets

MUFG • New York, NY

10d • $170,000 - $220,000 • Hybrid

About The Position

The Americas Legal Department is seeking an attorney to provide legal and regulatory guidance to MUFG’s Global Markets securities and derivatives businesses conducted through its regulated broker-dealer and swap-dealer entities. The role works with Legal, Compliance, Risk, and Global Markets business teams to meet regulatory and commercial obligations and identify and manage legal and regulatory risk. The successful candidate will advise on matters affecting Sales, Trading, Capital Markets, Research, Compliance, Operations, and Finance, and support regulatory change, business initiatives, governance forums, and departmental projects. The position requires familiarity with institutional client-facing business conduct, sales, trading, capital markets, and research distribution rules, as well as strong communication, technical, and organizational skills. The role is based at an MUFG office or client site four days per week, with remote work one day per week.

Requirements

• JD degree and eligibility to practice in New York.
• Knowledge of and practical experience working in the sales, trading, and investment banking businesses of a global organization.
• Experience dealing with clients, counterparties, and external legal counsel.
• Strong understanding of SEC, CFTC, FINRA, and NFA rules.
• Ability to identify and analyze regulatory issues in unfamiliar or new product areas.
• Commercial awareness and sound judgment in a fast-moving business environment, including the ability to identify and manage legal, regulatory, and contractual risk.
• Ability to recognize problematic issues and plan and execute strategies to address them.
• Excellent interpersonal communication skills and ability to build relationships with internal and external stakeholders.
• Ability to manage large workloads and tight deadlines.
• Ability to collaborate on group projects and work 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.
• Ability to use the MS Office suite and electronic document management tools.

Responsibilities

• Advise on compliance with legal and regulatory requirements applicable to regulated broker-dealer and swap-dealer businesses.
• Advise internal stakeholders on legal and regulatory risk management affecting Sales, Trading, Capital Markets, Research, Compliance, Operations, and Finance.
• Liaise with external counsel and manage engagements to ensure efficient and cost-effective legal advice.
• Draft and negotiate agreements and regulatory communications.
• Develop knowledge of global securities and derivatives regulation to support MUFG’s regulatory portfolio.
• Provide regulatory advice and support to other members of the legal team on internal investigations, contract analysis, litigation, employee matters, and other legal or regulatory issues involving Global Markets activities and personnel.
• Participate in and advise on business initiatives and regulatory change projects, including impact assessments, legal research, and policy and control development and implementation.
• Advise and update internal stakeholders affected by regulatory advocacy efforts of trade groups such as IIB and SIFMA.
• Participate in and advise internal working groups, management committees, and governance forums where legal representation is requested or required.
• Support Americas Legal Department initiatives to improve operations and efficiency and evaluate and implement technology solutions.
• Assist with ad hoc projects.

Benefits

• Comprehensive health and wellness benefits.
• Retirement plans.
• Educational assistance and training programs.
• Income replacement for qualified employees with disabilities.
• Paid maternity and parental bonding leave.
• Paid vacation, sick days, and holidays.
• Potential eligibility for discretionary performance-based bonuses and/or incentive compensation.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Ph.D. or professional degree