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Compliance Vice President, Regulatory Change, Policies & Procedures & Training – Dallas, TX based

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  • Requisition # 35401
  • Job Type Day
  • Location Arlington, TEXAS
  • Other Locations TEXAS-Dallas
  • Date Posted 05/23/2021

Your potential. Your opportunity.

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020). In the Americas, we’re 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We’re a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count.

MUFG Securities EMEA plc., MUFG Securities (Europe) N.V., MUFG Securities Americas Inc., MUFG Securities (Canada), Ltd. and MUFG Securities Asia Limited under Mitsubishi UFJ Securities Holdings Co., Ltd aim to provide an internationally integrated securities operation offering best in class service and products to corporate and institutional clients and those of the MUFG group.

Mitsubishi UFJ Securities (MUSA) provides investment banking and brokerage products and services to institutional clients throughout the Americas. MUSA, is headquartered in New York and is active throughout the international capital markets, focusing on fixed income, debt, equity, derivatives and structured products. 


The Compliance Department is responsible for setting the policies and procedures for the registered representatives and associated persons of the broker dealer. The Regulatory Affairs and Registrations function is a key part of the Compliance Program, managing the Firm’s relationship with its regulators, maintaining open lines of communication and responding to regulatory requests in a prompt and concise manner. It is also responsible for all facets of the regulatory requirements regarding firm and individual licensing.

Job Summary & Main Purpose:

This position would manage the Firm’s regulatory affairs compliance program, responsible for all communications with its regulators. It will also be responsible for managing the Firm’s Registrations Department, ensuring all firm and individual licensing requirements are met and maintained.

Key Responsibilities:

  • Monitoring for regulatory change applicable to the Firm, and liaising with Compliance Advisory to assess impact and develop an action plan.
  • Contribute regulatory changes and enforcement actions to management reporting.
  • Maintaining an inventory of all applicable laws, rules and regulations of the Firm.
  • Maintaining the Firm’s policies and procedures ensuring they are current and reflective of any regulatory changes that had occurred.
  • Draft Compliance bulletins to address certain compliance events such as regulatory change and internal change in policies and/or procedures.
  • Work closely with the Firm’s Training Department to ensure all Compliance trainings are assigned to the appropriate staff members
  • Monitor the completion status of these trainings.
  • Represent Compliance in various internal working groups and steering committees including the Regulatory Compliance Committee, Training Governance Council, Policy Review Group and Information Risk Management Working Group.


Skills & Requirements: 

  • A Bachelor’s degree; JD is a plus.
  • 6+ years of prior compliance work-experience in a broker dealer environment with focus on regulatory affairs and registrations. requirements, preferably a large global investment bank.
  • Strong knowledge of FINRA, SEC, NFA, MSRB and CFTC rules and regulations.
  • Knowledge of all types of financial securities products.
  • Strong verbal and written and organizational skills.

Personal Attributes:

  • Strong work ethic.
  • Able to handle projects independently.
  • Works well in a team setting.
  • Willing to take on additional duties if necessary.

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

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