Vice President, Equity Research Controls and Business Management

Mitsubishi UFJ Financial Group • New York, NY

7d • Hybrid

About The Position

MUFG is seeking a Vice President to serve as the primary governance, controls, and business management partner for its US Equity Research organization. The role works across Research, Compliance, Risk, Technology, Operations, and senior management to help ensure the Research platform operates in a controlled, efficient, and scalable manner. The successful candidate will advise Research leadership on regulatory, supervisory, operational, and strategic matters and lead initiatives to strengthen governance, improve operating effectiveness, and support business objectives.

The position combines first-line controls oversight with broader business management responsibilities, including strategic planning, technology and vendor management, management reporting, process improvement, budget and resource support, and execution of key business initiatives. The role also serves as a designated backup Supervisory Analyst, providing publication review and approval coverage as needed. The selected colleague will work at an MUFG office or client sites four days per week and remotely one day per week.

Requirements

• Bachelor's degree in Finance, Economics, Business Administration, Accounting, or a related field.
• 7–10 years of experience supporting an Equity Research organization in controls, supervision, compliance, business management, operational risk, or a related governance capacity.
• Strong understanding of SEC and FINRA requirements applicable to Equity Research, including FINRA Rule 2241, Global Research Settlement obligations, research conflicts management, information barrier controls, and research publication governance.
• Experience supporting research publication, supervisory, approval, or oversight processes within a broker-dealer environment.
• Experience developing and maintaining governance, risk, and control frameworks, including risk assessments, issue management, remediation, key risk indicators, management reporting, and regulatory interactions.
• Demonstrated ability to coordinate regulatory examinations, compliance reviews, internal audits, and other assurance activities.
• Strong understanding of Research operating models, workflows, technology platforms, vendor relationships, and production processes.
• Ability to independently assess risks, challenge business practices, and provide practical recommendations to senior management.
• Excellent analytical, communication, presentation, and stakeholder management skills.
• Advanced proficiency in Microsoft Office applications, including Excel and PowerPoint.
• Ability to work independently and effectively manage multiple priorities in a fast-paced environment.

Nice To Haves

• Series 16 registration.
• Prior experience serving as a Supervisory Analyst or supporting research publication review and approval processes.
• Experience with BlueMatrix or other research publishing, workflow, and distribution platforms.
• Experience leading technology, workflow automation, AI, or business transformation initiatives within a Research organization.
• Experience with budget management, vendor oversight, strategic planning, or broader business management responsibilities.

Responsibilities

• Serve as the primary controls and business management partner to US Equity Research leadership, advising on regulatory, supervisory, operational, and strategic matters.
• Maintain the Research governance, risk, and control framework, including policies, procedures, controls, risk assessments, management reporting, and oversight processes.
• Lead the Research Risk and Control Self-Assessment (RCSA) process and coordinate risk monitoring, control reviews, issue management, and remediation.
• Identify, assess, and escalate regulatory, operational, supervisory, and reputational risks affecting the Research business.
• Develop and monitor management reporting, key risk indicators, business metrics, and dashboards.
• Coordinate regulatory examinations, compliance reviews, internal audits, control testing, and other assurance activities.
• Coordinate information requests, documentation, and management responses for regulatory inquiries and interactions.
• Advise Research leadership on regulatory developments, governance matters, supervisory practices, and improvements to the control environment.
• Act as a designated backup Supervisory Analyst, performing review and approval responsibilities as needed for research publication oversight, regulatory compliance, and business continuity.
• Support strategic initiatives, operating priorities, and business plans to improve the effectiveness and scalability of the Research platform.
• Partner with Technology, Operations, Compliance, Legal, Finance, Human Resources, and Risk Management on process improvements, workflow enhancements, automation, and control enhancements.
• Manage key Research vendor and technology relationships, including platform governance, service delivery, contract oversight, and operational support.
• Support budget management, resource planning, expense oversight, and other Research business management activities.
• Prepare presentations, analyses, and materials for senior management, governance committees, regulators, and other stakeholders.
• Promote accountability, risk awareness, and effective governance across the Research organization.

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.
• May be eligible for discretionary performance-based bonus and/or incentive compensation.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior