Assistant Vice President, Regulatory Processes

Responsibilities

• Administer the UK Certification Regime to ensure staff compliance with regulatory requirements.
• Manage staff designation and registration under US Swap Associated Persons (AP) and 15-a6 regimes, maintaining SEC and CFTC standards.
• Coordinate the Annual Fitness & Propriety exercise for Senior Managers and Certified staff in collaboration with HR and Compliance teams.
• Update the FCA Directory and perform reconciliation processes across all licensing regimes to maintain accuracy.
• Support the timely submission of periodic and ad-hoc regulatory returns by gathering information from various departments.
• Assist in developing and rolling out the annual EMEA-wide Core Compliance training needs assessment and plan.
• Prepare waiver and exemption applications, maintain exemption logs, and manage offshore licence payments.
• Identify and implement process improvements within the Regulatory Processes Team to enhance operational efficiency.

Requirements

• Demonstrated knowledge of the UK Senior Manager & Certification Regime (SMCR).
• Experience managing complex regulatory processes and meeting multiple high-priority deadlines.
• Proficiency in Microsoft Office, specifically Excel, Word, and PowerPoint, for documentation and reporting.
• Strong interpersonal and communication skills to collaborate effectively across global departments and with regulators.
• Exceptional attention to detail and a meticulous approach to documentation.

Preferred Qualifications

• Practical exposure to US Swap AP (CFTC/SEC) regulatory requirements.
• Understanding of Management Information (MI) production for governance reporting.
• Knowledge of compliance risk assessment methodologies.

About the Company

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups, comprising 150,000 colleagues globally. We are dedicated to building long-term relationships, serving society, and fostering sustainable growth. At MUFG, we prioritize a culture of integrity, inclusion, and professional development, empowering our talent to make a meaningful impact in the global financial landscape.