MUFG Union Bank Director - Markets Compliance Advisory in United States

Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group/./

/ /

/ Major Responsibilities:


  • This position will report to the Head of Markets Regulatory Compliance, a group that provides coordination, oversight, and advisory services on applicable U.S. and international regulations

  • Primarily work with the Global Markets Division’s sales and trading business lines to identify, develop and implement policies and procedures, processes, and controls pursuant to new laws, regulations, rules, and interpretations or guidance issued by U.S. market regulators including the SEC and CFTC; FINRA, NFA, and other SROs; and prudential bank regulators such as the OCC, as applicable

  • A strong emphasis on Dodd-Frank Act Regulations, Swap Dealer Rules, and Volcker Rule-related responsibilities, including interpretation and application of cross-border regulatory requirements

  • Advise Compliance and Business management and staff on regulatory and compliance issues as well as strategic implications

  • Provide regulatory guidance to employees, departments and project teams regarding design, design, development, evaluation, and marketing of products

  • Partner with other Compliance teams and global functions, including Legal, Middle Office, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance

  • Lead initiatives and manage high-impact special projects with a results-driven focus, including coordinating the implementation of new regulatory requirements and compliance program design

  • Identify, analyze, and scope the enterprise-wide impact of; new and complex regulatory developments, regulatory developments, including enforcement actions, and new or updated interpretations or guidance relating to Markets businesses (across multiple asset classes including futures, fixed income, rates, credit, and FX products)

  • Draft and implement policies and procedures to set consistent standards across businesses or product lines

  • Investigate internal and external incidents/complaints, and prepare documentation and submissions to appropriate regulatory agencies as necessary

  • Participate in industry groups and trade association working groups or other forums

  • Proactively review, design, and enhance processes and/or controls

  • Provide assistance to internal or external auditors in compliance reviews; provide responses to regulatory agencies regarding service and product information or issues

  • Manage a small team (presently 2 Compliance Advisory staff). Other duties and responsibilities, as assigned

  • 10-15 years of experience in financial sector

  • Extensive, demonstrated knowledge and expertise in applicable laws and regulations administered by the Federal Reserve Bank, OCC, CFTC, SEC, FINRA and state banking regulators; compliance risk management and regulatory oversight


The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified. /

/ /

T o learn more about MUFG, review all current career opportunities, and apply please visit us online:

/ /

/ We are committed to leveraging the diverse backgrounds, perspectives and experiences of our workforce to create opportunities for our people and our business. Equal Opportunity Employer: Minority/Female/Disability/Veteran. /

Job: *Risk & Compliance

Title: Director - Markets Compliance Advisory

Location: United States

Requisition ID: 10010388-WD