Director, Head of Markets Regulatory Affairs & Registrations; U.S. Broker-Dealer

Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer)
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New York, NYtime type:
Full time posted on:
Posted Yesterday job requisition :
-WD
** Do you want your voice heard and your actions to count?
** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
** Overview
* * MUFG is seeking a Director to lead the U.S. Broker-Dealer Regulatory Affairs & Registrations function. This role exists to provide enterprise leadership, governance, and strategic oversight of the firm's regulatory affairs, regulatory reporting, licensing, and registration programs, ensuring the organization maintains a strong regulatory posture and a sustainable control environment. The role is accountable for establishing and maintaining a consistent framework for regulatory engagement, supervisory interactions, regulatory reporting, and registration governance that supports business growth while meeting the expectations of FINRA, the SEC, the NFA, and other applicable regulators.

Operating within the Compliance function and the Three Lines of Defense framework, the role serves as a trusted advisor to senior leadership and is responsible for driving regulatory readiness, enhancing governance practices, and promoting a culture of accountability, transparency, and continuous improvement across the U.S. broker-dealer environment.
** Key Responsibilities
**** Regulatory Affairs & Regulatory Engagement
*** Accountable for the enterprise strategy and governance framework governing regulatory engagement across the U.S. broker-dealer, ensuring consistent, proactive, and effective interactions with FINRA, the SEC, the NFA, and other regulatory authorities.
* Provide leadership and oversight for regulatory examinations, inquiries, sweeps, and supervisory interactions, ensuring timely and effective management of regulatory matters and associated risks.
* Establish standards and governance processes for regulatory communications, submissions, and responses to ensure consistency, quality, and appropriate executive oversight.
* Advise senior management on regulatory developments, examination priorities, and emerging supervisory expectations, translating regulatory requirements into actionable business and compliance strategies.
* Lead the firm's regulatory reporting governance program, including oversight…