Vice President - US Swap Dealer Regulations – Compliance Advisory

Responsibilities

• Act as the Subject Matter Expert (SME) for US regulatory requirements across the banking and securities business
• Develop and manage a mature US regulatory tasks framework and workflow to improve EMEA operational efficiency
• Provide proactive advice, guidance, and challenge to business lines regarding CFTC, NFA, and SEC Swap Dealer regulations
• Assist in the development and uplift of compliance frameworks and monitoring programs for US and other entity regulations
• Collaborate with the Regulatory Change Team to draft and update policies, procedures, and training materials
• Deliver regulatory and conduct training to the front office, specifically focusing on Swap Associated Persons
• Draft annual CFTC/NFA and SEC Compliance reports and conduct necessary lookback exercises
• Represent Advisory Compliance at the Swap Dealer Oversight Committee and assist with CFTC/NFA audits

Requirements

• 4+ years of relevant compliance experience within an Advisory or Legal function, specializing in US regulatory compliance
• 3+ years of VP-level experience in a Market Side Compliance Advisory role within an investment banking organization
• In-depth knowledge of MAR, MiFID II, and US regulatory compliance (CFTC/SEC)
• Strong understanding of Market Compliance and investment banking products, including Sales and Trading
• University degree in Law, Financial Regulation, or a related field
• Proven ability to act autonomously, challenge constructively, and manage complex regulatory tasks

About the Company

Mitsubishi UFJ Financial Group (MUFG) is one of the world's leading financial groups, with a global network of approximately 2,300 offices in over 50 countries. We are committed to building long-term relationships, serving society, and fostering sustainable growth. At MUFG, we prioritize a culture of integrity, diversity, and innovation, investing in our talent to help them own their careers and make a meaningful impact.