Director EMEA Compliance Control Room Manager

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.

OVERVIEW OF THE DEPARTMENT/SECTION

MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

As one of the top financial groups globally with a

vision to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

MUFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The group’s operating companies include, but are not limited to, MUFG Bank, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.

Please visit our website for more information - mufgemea.com.

NUMBER OF DIRECT REPORTS

4

MAIN PURPOSE OF THE ROLE

This is a high visibility role that will be responsible for building out the EMEA regions conflicts of interest, Insider list, Watch list, MNPI, wall crossing, Treeing and Restrict List management (collectively “CCR related tasks” framework. The role will have direct exposure to all levels of the business and will be the primary contact for the CCR related tasks management and related Advisory compliance matters. The incumbent will have a dotted reporting line to the International Head of Control Room.

KEY RESPONSIBILITIES

The role will be acting across MUFG’s banking arm and securities business under a dual-hat arrangement. Under this arrangement you will make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, irrespective of the entity which employs you.

• To oversee the development of a more mature CCR related tasks’ management framework, but to develop a holistic framework that oversees all activity conducted across all businesses.
• Delegated Authority from EMEA Head of Advisory to make decisions in relation to CCR staff management and CCR policies/procedures, GRL and CCR Workflow. Accountability to ensure the day-to-day management of CCR related tasks exercised correctly
• Provide support and delegation to the Head of Advisory as necessary
• Develop the CCR related tasks’ management framework across all business lines operating in EMEA supporting both the compliance teams across EMEA and educating the various businesses that operate in the region
• Assist in the development of International CCR policies and standards and a Global Control Room function.
• Provide advice, guidance and challenge to the businesses in regulatory compliance matters with a particular focus on CCR related matters (including but not limited to identification of risk, escalation and management)

Draft and update policies and procedures as necessary

Provide training to the front office on regulatory and conduct matters with a particular focus on CCR related tasks

Management of CCR staff – currently 4.

WORK EXPERIENCE

Essential:

• 5 years + relevant compliance experience within a Conflicts Office, Control Room or Banking Compliance / Private Side Compliance Advisory role in an investment banking organisation
  
  

SKILLS AND EXPERIENCE

Functional / Technical Competencies:

Essential

• Strong understanding and knowledge of capital markets, structured finance and other investment banking products, including but not limited to loans, bonds and structured finance, and Sales and Trading.
• In depth knowledge of MAR and MiFID II compliance
• Strong knowledge of risk, compliance and controls
• Strong understanding of key regulations applicable to capital markets products, including MiFID II, MAR
• Strong interpersonal and communication skills
• Sharp intellect with the ability to grasp complex concepts

Conscious of confidentiality involved in the nature of business and CCR related tasks

Ability to work/ collaborate with variety of stakeholders of all related regions and Head Office

PERFORMANCE AND DUTIES

The role holder will be assessed in accordance with their employing entity’s performance framework and process with relevant input obtained from the dual hatting entity as relevant.

As duties and responsibilities change, the job description will be reviewed and emended in consultation with the role holder. The role holder will carry out other duties as are within the scope, spirit and purpose of the role as requested by their line manager or Department Head.

MANAGING CONFLICTS OF INTEREST

• The role holder will have responsibilities for both MUFG Bank and MUFG Securities EMEA plc.
• The role holder will be required to perform their duties and responsibilities on an entity neutral basis, without favour.
• The role holder is required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of MUFG Bank and MUS.

Working terms are dictated by functional mandates, the terms of the Dual-Hat Arrangement Agreement in place between MUFG Bank and MUFG Securities EMEA plc and any other relevant agreements entered into between MUFG Bank and MUFG Securities EMEA plc.

The role holder will have responsibility for identifying and resolving where there may be a difference or conflict in needs between MUFG Bank and MUFG Securities EMEA plc, escalating to their manager where required.

We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.