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Director, Compliance Regulatory Affairs and Registrations

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  • Requisition # 35219
  • Job Type Day
  • Location New York, NEW YORK
  • Date Posted 09/17/2020

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 2018). 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. 

Overview:

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 Company’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 Company’s regulatory affairs compliance program, responsible for all communications with its regulators. It will also be responsible for managing the Company’s Registrations Department, ensuring all company and individual licensing requirements are met and maintained.

Key Responsibilities:
  • Regulatory Examination Management:
    • Entirely manage regulatory examinations, including receiving notifications of exams.
    • Respond to initial examination requests for materials.
    • Respond to subsequent requests for materials and meetings.
    • Prepare management responses to examinations.
    • Post examination, ensure findings and recommendations are addressed appropriately.
  • Licensing Maintenance and Reporting:
    • Manage the process of obtaining and maintaining registrations and licenses.
  • Complete various tasks related to licensing initiatives.
  • Participate in Regulatory Assurance second line compliance monitoring and testing.
  • Assist in implementing regulatory changes as applicable.
  • Project manage and engage relevant stakeholders to compile information for examinations, licensing and applicable regulatory audits.
  • Prioritize tasks for the Department and schedule meetings, maintain minutes of meetings and create task lists.
  • Work with internal and external counsel and compliance management as it relates to analysis of licensing requirements.

Skills & Requirements:                             
  • Bachelor’s degree; JD is a plus.

  • Minimum of 10+ years of compliance in a broker dealer environment with a focus on regulatory affairs and registrations requirements, preferably a large global investment bank and prior work experience with a regulatory background is very desirable.

  • Strong knowledge of FINRA, SEC, NFA, MSRB and CFTC rules and regulations.

  • Knowledge of all types of financial securities products.

General Skills & Experience
  • Strong verbal and written and organizational skills.

  • Results driven and a strong sense of ownership and accountability.
  • Strong decision making skills, the ability to demonstrate sound judgment.
  • A structured and logical approach to work.
  • Strong problem solving skills.
  • Excellent interpersonal skills.
Personal Attributes:

  • Strong work ethic. 
  • Ability to handle projects independently. 
  • Work 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, c
ertain offenses.


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