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Capital Markets & Securitizations Advisor, AVP

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  • Requisition # 10057690-WD
  • Job Type Full time
  • Date Posted 01/19/2023
  • Location New York, NY

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 6th largest financial group in the world. Across the globe, we’re 160,000 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.

This is a hybrid position. The recruiter will provide additional details.

This role will report to the Senior Compliance Advisor responsible for the Capital Markets and Securitized Products platforms. Responsibilities will involve advising and providing guidance to these business units and the associated risk and support functions. The candidate will also:

  • Assess regulatory/compliance controls related to areas of coverage. This would include providing clear and understandable advice and guidance to interested parties and drafting and delivering Compliance training on these topics.
  • Analyze proposed and new rules in addition to market and internal developments and provide advice and guidance on the potential impact to current activities, and working to implement the necessary controls. Additionally, play an advocacy role representing the Firm in industry efforts as they pertain to regulatory developments.
  • Assist in the preparation of Compliance reports for Compliance Management, Senior Management, Executive Committees, and Risk Committees etc. as required.

In addition to the above, responsibilities include:

  • Drafting and updating Compliance policies and procedures.
  • Participating in internal investigations, assisting in responding to regulatory inquiries, and coordinating internal and external audits and inspections.
  • Performing periodic risk assessments of the business.
  • Providing regulatory/compliance training as needed.


  • 3-5 years of compliance with a focus on advisory and policy development.
  • Strong knowledge of FINRA and SEC rules and regulations. 
  • Strong verbal, written and organizational skills.

The typical base pay range for this role is between $85K - $105K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law. 

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