Fixed Income Compliance Advisor, Vice President

Overview

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.

In addition to the above, responsibilities include:

• Assess regulatory/compliance controls related to areas of coverage. This would include providing clear and understandable advice and guidance to interested parties and drafting and delivering Compliance training on these topics.
• Analyze proposed and new rules in addition to market and internal developments and provide advice and guidance on the potential impact to current activities, and working to implement the necessary controls. Additionally, play an advocacy role representing the Firm in industry efforts as they pertain to regulatory developments.
• Assist in the preparation of Compliance reports for Compliance Management, Senior Management, Executive Committees, and Risk Committees etc. as required.

In addition to the above, responsibilities include:

• Drafting and updating Compliance policies and procedures.
• Assist with the drafting and delivery of Compliance trainings e.g. Annual Compliance Training as well as ad hoc trainings.
• Participating in internal investigations, assisting in responding to regulatory inquiries, and coordinating internal and external audits and inspections.
• Performing periodic risk assessments of the business.
• Providing regulatory/compliance training as needed.

• 5-7 years of compliance with a focus on advisory and policy development.
• 5+ years of Fixed Income Compliance experience
• Strong knowledge of FINRA, SEC, NFA and CFTC rules and regulations.
• Strong verbal, written and organizational skills.

The typical base pay range for this role is between $126k-$173k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.

For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA).

The major responsibilities listed above are the material job duties of this…