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Head of Markets Regulatory Affairs & Registrations (US Broker-Dealer
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-07-31
Listing for:
MUFG Bank, Ltd.
Full Time
position Listed on 2026-07-31
Job specializations:
-
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
Location: New York
MUFG Bank, Ltd. in New York seeks a Director to lead the U.S. Broker-Dealer Regulatory Affairs & Registrations function.
You will shape enterprise governance for regulatory engagement with FINRA, the SEC, and NFA, and oversee licensing, reporting, and disclosures across the broker-dealer footprint. As a member of the Compliance function, you will drive regulatory readiness, governance improvements, and risk-based controls while guiding a senior leadership team and cross-functional partners.
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