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Regulatory Operations Associate

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  • Requisition # 35384
  • Job Type Day
  • Location New York, NEW YORK
  • Date Posted 02/22/2021

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. 

  • Monitor CAT and OATS reporting for any rejects or unmatched transactions via FINRA Gateway access.
  • Manually report to CAT and OATS via FINRA Gateway in case of system failure.
  • Execute Qualified Special Representative Agreement and AGU agreement
  • Standardizing complex transactions to enable solidified downstream processing for appropriate reporting.
  • Interface with Business, Technology, and Compliance to integrate Regulatory Reporting structures for all Equity products.
  • Assess and implement new Regulatory Reporting requirements as well changes to existing requirements.
  • Assist Compliance and Business in completing inquiries from Market Regulation Department of FINRA and SEC.
  • Provide complete, accurate and timely Blue Sheet data to satisfy EBS regulatory requests.
  • Perform annual review of current Blue Sheet processes and procedures.
  • Execute appropriate governance and control to mitigate regulatory and operational risks.

Product knowledge:

  • Common and Preffered Stocks
  • Listed and OTC Options
  • ETF’s
  • ADR’s

Qualifications:

The Reg Ops role will be responsible for providing support for the Firm’s Transaction Regulatory Reporting. This person will be engaged with the Firms Regulatory obligations specifically with transaction reporting, including and not limited to CAT, OATS, 606, and Blue Sheet (EBS). The individual requires in-depth expertise of these types of regulatory reporting and their designated SRO’s.  Additionally, this candidate is required to have knowledge of Equity trade flow from the time of executions to settlement.

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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