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Institutional/Fixed Income Compliance Manager - UBIS, Vice President

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  • Requisition # 10043647-WD
  • Job Type Day
  • Location Los Angeles, CALIFORNIA
  • Date Posted 06/10/2021

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.


UnionBanc Investment Services, a wholly owned subsidiary of Union Bank, is a trusted and highly respected broker-dealer and investment advisor that has helped clients reach their investment goals for more than three decades. We offer a comprehensive selection of competitive investment services and products to assist our clients with their financial goals.

Our team of talented professionals embodies the ingenuity, exceptional attitude, and passion for exemplary client service that drives our success. We respect diverse backgrounds, talents, and skills and place an emphasis on the value each individual brings to the equation. A consistent business philosophy, a well-defined and actionable strategic plan, and an inspired vision for the future are what make us unique. Be part of an environment where you can do what you love, excel at what you do, realize the rewards, and take pride in your achievements.

Job Summary:

Responsible for compliance oversight of institutional and fixed income department.  Responsibilities include developing and implementing a comprehensive compliance monitoring program to include revisions to/development of policies and procedures in compliance with SEC, FINRA and MSRB rules and regulations, conduct on-going monitoring of the institutional and fixed income business and complete annual OSJ review.  This position is also responsible for managing firm level privacy breaches, assisting with BSA/AML functions, and for conducting branch exams for the retail branch locations.  The individual will participate in the Firm’s Compliance Committee, and Conflict Committee.  This individual will keep apprised of new regulations and advise management and registered representatives on emerging compliance and regulatory issues. Position will report directly to the Director, Retail Compliance Manager.

Major Responsibilities:

  • Recommend/develop enhancements to firm's compliance policies and procedures for the monitoring of institutional and retail fixed income trading.
  • Ensure compliance with the Firms Bank Secrecy Act/AML Program (BSA/AML), Customer Identification Program (“CIP”) and Enhanced Due Diligence Detection and Monitoring Program.
  • Assist with the coordination of internal reviews and regulatory examinations including the SEC, FINRA, MSRB and other regulatory agencies.
  • Coordinate, implement and maintain the development of the Firms fixed income compliance program.
  • Monitor and ensure compliance with various compliance reporting requirements, including MSRB, TRACE and CATs.
  • Develop, as needed, enhanced transaction monitoring and exception reporting system.
  • Provide training to registered representatives, principals and associated persons.
  • Stay current on regulatory changes and new rules. Interpretation of new regulatory rules and state and federal laws
  • Maintain compliance with SEC, FINRA & MSRB Books and Records requirements.
  • Assist in the resolution of customer complaints.
  • Participate in the Compliance Committee and Conflict Committee.
  • Perform Compliance due diligence on new fixed income products.
  • Review employee trading accounts and activities.
  • Conduct principal review and approval of institutional advertising, marketing material and electronic communications, as necessary 
  • Provide compliance oversight of the Bank’s privacy policy.
  • Assist as needed in branch office exams - some travel may be required.
  • Participate in other Compliance-related projects, as necessary


  • Minimum 7+ years of broker-dealer regulatory and/or compliance experience
  • Must maintain a FINRA Series 7, 24, 53, 63/66 or 65 designations.  Life Agent insurance license preferred.
  • Strong knowledge of securities & insurance rules and regulations, including FINRA, SEC, MSRB and DOI with strong emphasis on fixed income products.
  • Well-developed analytical and project management skills.
  • Excellent written and verbal communication skills.
  • Well organized with the ability to handle multiple tasks and multiple priorities simultaneously.
  • Able to effectively conduct presentations.
  • Proficiency in various PC applications or equivalent, preferably O365, including Outlook, Word, Excel, Access, PowerPoint, MS Teams, as well as Bloomberg.  

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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