OVERVIEW OF THE DEPARTMENT/SECTIONThe European Compliance Division (ECOD) is responsible for providing guidance on regulatory matters relating to relevant business activities undertaken by the firm and to advise generally on the treatment and interpretation of both European and International compliance rules and regulations. Markets Advisory assists Department Heads with the development of desk policies and procedures to comply with regulatory requirements and to ensure implementation of regulatory developments. MAIN PURPOSE OF THE ROLE Provide Global Markets Compliance advice and coverage across “FIC” (Fixed Income and Currencies) and Equities. Specifically, Rates, Credit, FX, Cash Equities and Equity derivatives. Act as a key point of delegation and support to the Head of Markets Advisory compliance.Engage with Front Office and other key stakeholders (e.g. Risk/COO/Legal on any Regulatory compliance matters arising within Global Markets) in order to provide proactive, quality advice and support on regulatory compliance matters.Support the Head of Markets Advisory on wider regulatory or strategic projects. KEY RESPONSIBILITIESIn this role, you will support the Markets Compliance Advisory team across MUFG’s banking arm and securities business under a dual-hat arrangement. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you.SKILLS AND EXPERIENCEFunctional / Technical Competencies:Strong Global Markets Sales and Trading product knowledge and business understanding. Experienced dealing with relevant Front office areas on a day to day advisory/ dealing floor capacity.Strong understanding of the FCA regulatory environment and handbook as well as European and Extraterritorial regulations impacting the business from a practical perspective, specifically MiFID II, MAR, Dodd-Frank and Volcker. Strong knowledge of key/current regulatory issues impacting relevant front office businessWork Experience:Compliance experience within a front office business line role, ideally in an investment banking organizationExperience of interacting with front office teams on regulatory compliance mattersEducation / Qualifications:Degree Level or equivalent qualifications and experiencePERSONAL REQUIREMENTSExcellent communication skillsResults driven, with a strong sense of accountabilityA proactive, motivated approachSharp intellectThe ability to operate with urgency and priorities work accordinglyStrong decision making skills, the ability to demonstrate sound judgementStrong problem solving skillsExcellent interpersonal skillsThe ability to manage large workloads and tight deadlinesExcellent attention to detail and accuracyA calm approach, with the ability to perform well in a pressurized environmentStrong numerical skillsExcellent Microsoft Office skillsWe 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.
Last updated on Mar 26, 2023