Vice President or Director, Compliance Advisory - US Regulations CFTC and SBSD Swap Dealer

MAIN PURPOSE OF THE ROLE

This is a high visibility role that will be responsible for establishing the EMEA regions operational efficiency in US regulatory compliance and reporting, including CFTC/NFA and SEC Swap Dealer (collectively “US regulatory tasks” framework) including but not limited to compiling the required reporting to the US authorities). The role will have direct exposure to all levels of the business and will be the primary contact for the US regulation advisory and related tasks management.

NUMBER OF DIRECT REPORTS

One

KEY RESPONSIBILITIES

The role will be acting across MUFG’s banking arm and securities business under a dual-hat arrangement. Under this arrangement you will be the SME of US regulatory requirements. To develp efficient work flow and operation model US Reg compliance for both the bank and the securities business, subject to the same remit and level of authority, irrespective of the entity which employs you.

Job responsibilities:

To develop a more mature and efficient US regulatory related tasks’ framework and workflow.

Carry out the day to day management of US related regulatory tasks
Provide support and delegation to the Head of Advisory as necessary
Assist in the development of the US Regulation Compliance framework across all relevant business lines operating in EMEA. This includes uplift of CFTC/NFA and SEC programmes and monitoring of adherence to programme by impacted departments.
Provide proactive advice, guidance and challenge to the businesses in regulatory compliance matters with a particular focus on US regulatory related matters (including but not limited to identification of risk, escalation and management).
Work closely with the Regulatory Change Team (who lead on providing advice and guidance on regulatory developments which are in the upstream/implementation phase) for example in drafting and updating policies, procedures and developing and delivering training.
Provide training to the front office on regulatory and conduct matters with a particular focus on US regulation including for Swap Associated Persons .
Represent Advisory Compliance at the Swap Dealer Oversight Committee
Draft the annual CFTC/NFA and SEC Compliance reports and conduct lookback exercise.
Compliance Lead on CFA//NFA audits

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