Assistant Vice President, Operations Compliance Advisory

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The Compliance Advisory team is responsible for providing guidance on regulatory matters relating to relevant business activities undertaken by the firm and to advise on the treatment and interpretation of both UK and international compliance rules and regulations. Compliance Advisory assists Department Heads with the development of desk policies and procedures to comply with regulatory requirements and to ensure implementation of regulatory developments.

Compliance Advisory is also responsible for liaising with regulatory authorities.

None

• Act as the SME providing the necessary advice, challenge and oversight to MUFG’s Enterprise Functions (e.g. Front Office, Operations, Technology and Change Management Functions across EMEA) and various projects on trade and transaction reporting, including UK/EU EMIR, UK/EU MiFIR/MiFID, UK/EU SFTR, CFTC Reporting (in particular, Part 43 and 45), SEC Reporting, CSA Trade Reporting, HKMA Reporting, MAS Reporting, etc.
• Provide the necessary technical regulatory advice and expertise to the CASS Team
• Provide the necessary advice regarding MUFG’s operational framework, including but not limited to, processes involving collateral, valuations, margin and confirmations, etc.
• Support MUFG’s equity aggregation arrangements to ensure compliance with global laws and regulations relating to Substantial Shareholder Disclosures and Short Selling Disclosures
• Support the remediation project on equity positions reporting, including Substantial Shareholding Disclosures, Short Selling Disclosures, SEC 13f-1 and 13f-2 Reporting, etc.
• Represent Compliance and provide appropriate challenge at internal Committees, including regulatory change initiatives/projects
• Identify and recommend/execute opportunities for process improvement and risk control development
• Alert management immediately upon identification of any material regulatory breach

• Act as the SME on MUFG’s trade and transaction regulatory reporting obligations
• Provide technical support to EMEA and International Compliance colleagues on the application of trade and transaction reporting rules in other group entities and impacts on cross border/remote booking activities
• Provide the necessary technical regulatory advice and expertise to the CASS Team
• Provide the necessary advice regarding MUFG’s operational framework, including but not limited to, processes involving collateral, valuations, margin and confirmations, etc.
• Keep abreast of global regulatory change initiatives/topics and provide SME input on new regulatory requirements/initiatives
• Support the wider Compliance team on matters regarding MUFG’s regulatory reporting obligations, including managing the correspondences/notifications with global regulators
• Advise on all matters concerning equity positions reporting, including on Substantial Shareholding Disclosures and Short Selling Disclosures to Head Office and global regulators in accordance with the applicable laws and regulations, focusing on the EMEA region
• Support the day-to-day management of Substantial Shareholding Disclosures and Short Selling Disclosures under the relevant EU/UK/US regulations (e.g. Transparency Directive and SSR), SEC 13f-1 and 13f-2 Reporting, etc.
• Support the remediation project on equity positions reporting
• Interact with, and be…