Vice President, Equity Research Controls and Business Management

Location: New York

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.

Vice President – Equity Research Controls and Business Management Position SummaryMUFG is seeking a Vice President, Equity Research Controls and Business Management, to serve as the primary governance, controls, and business management partner for its US Equity Research organization. This highly visible role sits at the intersection of Research, Compliance, Risk, Technology, Operations, and senior management, helping to ensure the Research platform operates in a controlled, efficient, and scalable manner.

The successful candidate will advise Research leadership on regulatory, supervisory, operational, and strategic matters while driving initiatives that strengthen governance, enhance operating effectiveness, and support long-term business objectives.

The position combines responsibility for first-line controls oversight with broader business management activities, including strategic planning, technology and vendor management, management reporting, process improvement, and execution of key business initiatives. This is an opportunity to play a central role in the management and continued evolution of a leading Equity Research franchise within a global financial institution.

Key Responsibilities Serve as the primary controls and business management partner to the US Equity Research organization, advising leadership on regulatory, supervisory, operational, and strategic matters.

Maintain the Research governance, risk, and control framework, including policies, procedures, controls, risk assessments, management reporting, and oversight processes.

Lead the Research Risk and Control Self-Assessment (RCSA) process and coordinate ongoing risk monitoring, control reviews, issue management, and remediation activities.

Identify, assess, and escalate regulatory, operational, supervisory, and reputational risks impacting the Research business.

Develop and monitor management reporting, key risk indicators, business metrics, and dashboards to support effective decision-making and oversight.

Coordinate regulatory examinations, compliance reviews, internal audits, control testing, and other assurance activities affecting the Research organization.

Support regulatory inquiries and interactions by coordinating information requests, documentation, and management responses.

Advise Research leadership on regulatory developments, governance matters, supervisory practices, and opportunities to enhance the control environment.

Serve as a designated backup Supervisory Analyst, performing review and approval responsibilities as needed to support research publication oversight, regulatory compliance, and business continuity.

Support execution of strategic initiatives, operating priorities, and business plans to enhance the effectiveness and…