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Americas Compliance Control Room Vice President

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  • Requisition # 10044683-WD
  • Job Type Day
  • Location Irving, TEXAS
  • Other Locations NEW YORK-New York
  • Date Posted 07/31/2021

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.

Some MUFG roles require that individuals be fully vaccinated against COVID-19, subject to medical and/or religious exemptions, if applicable. Should you be selected for an interview, your recruiter will provide additional information.

Job Summary:

The CCR administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest.  The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and actions are taken to mitigate compliance risk.  

Principal functions and responsibilities:

  • Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.  
  • Provide consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information and Personal Trading).  
  • Serve as a Subject Matter Expert for designated laws, regulations, and policies, including insider trading and transactional conflicts of interest.
  • Execute projects as assigned by supervisor and/or Compliance senior management.
  • Manage controls, including oversea the maintenance of the Watch and Restricted Lists to prevent and detect insider trading by employees. These activities include the administration of requirements under applicable insider trading policies, centralized reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, employee trading and pre-clearance, and metrics and escalation reporting.
  • Perform transactional conflicts of interest (TCOI) process including review of TCOI submissions, escalation to U.S. management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls, and any required risk mitigation.
  • Participate in the drafting of compliance related policies and procedures.  Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matter; and respond to compliance related questions from management and staff. 
  • Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee accordingly.  Provide information for compliance reporting to management and governance groups.
  • Manage the execution of assignments by junior team staff under the bank’s compliance risk programs.
  • Develop, coordinate, and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-public Information, and Personal Trading).  

Qualifications

Qualifications:

  • Bachelor’s degree
  • Minimum of 10 years of Compliance and Control Room experience
  • FINRA Broker Dealer experience
  • Strong knowledge of financial markets, investment banking, capital markets and products
  • Outstanding analytical and organizational skills
  • Experience leading and delivering on projects 
  • Experience working in a large international organization preferred
  • Excellent communications skills (verbal and written) 
  • Series 7, 8 and 24 licenses a plus

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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