Vice President, Regulatory Reporting Assurance SME

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.

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG has a global network with 1,100 offices in over 40 countries. The Group has over 140,000 employees, offering services including corporate banking, commercial banking, retail banking, wealth management, investment banking, capital markets, personal and corporate trust, and transaction banking.

The Group’s operating companies include Bank of Tokyo-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking Corporation (Japan’s leading trust bank), and Mitsubishi UFJ Securities Holdings Co., Ltd., one of Japan’s largest securities firms.

MUFG conducts securities business internationally through its overseas subsidiaries MUFG Securities EMEA plc, MUFG Securities Americas Inc., MUFG Securities Asia Limited. and MUFG Securities Asia (Singapore) Limited. With each member of the group working in partnership with one another, MUFG provides best in class service and products to corporate and institutional clients.

MUFG Securities EMEA plc is the European hub of MUFG’s securities business. Headquartered in London we have just over 600 employees and are active throughout the international capital markets, focusing on debt, equity, derivatives and structured products. Due to the diverse nature of our business we require a clear unifying vision for all of our people. It is this vision and our corporate values that reflect who we are and guide how we behave. We therefore strive to recruit individuals who share our vision and values, and who have the motivation and commitment to help us move our business forward.

The Regulatory Operations Assurance team is a new team within Operations whose key function is to provide Assurance to senior management and stakeholders that our Regulatory Reporting is complete, accurate and timely across all reporting regimes

NUMBER OF DIRECT REPORTS

None

MAIN PURPOSE OF THE ROLE 

We have an exciting opportunity for an experienced Regulatory Reporting SME to join the Regulatory Operations Assurance function within Operations. The main focus of the role is to manage and own the governance and control of all regulatory reporting changes, to ensure that all changes do not negatively impact the ‘completeness’ and ‘accuracy’  of MUFG’s trade & transaction reporting.

The role involves setting up and implementing a robust governance and control framework focusing on providing the appropriate assurance to ensure that ‘production changes’ do not negatively impact regulatory trade/transaction reporting. This includes taking ownership/signoff of any fixes/implementations on behalf of Operations, checking and validating changes from a regulatory perspective and assisting with the UAT testing process and signoff.

The candidate would need strong regulatory reporting ‘hands on’ knowledge across a number of regulatory reporting regimes with experience of ‘best practice’ in governance and controls in a regulatory reporting environment.

KEY RESPONSIBILITIES

To be the Operations regulatory reporting delivery ‘gatekeeper’ by defining and implementing the necessary governance and controls to ensure the firm maintains its regulatory reporting obligations when implementing change. 

This would include:

• Define and implement a governance & control framework around ‘Change’ to ensure production changes do not impact regulatory trade & transaction reporting.
• Ensure all changes that could impact regulatory reporting obligations follow the defined governance & control framework.
• Work closely with Change, Technology, Compliance and other areas within Operations to ensure all Regulatory reporting deliverables are implemented accurately across all regimes and at the appropriate priority.
• Assist with the UAT process and testing of changes that impact regulatory reporting and provide the appropriate signoff for Operations.
• Define and template appropriate tests strategies & test cases required to detect issues of under-reporting, over-reporting and miss-reporting.
• Understanding the current regulatory reporting governance, controls and architecture in place at MUFG [Front to Back]
• Build and roll out appropriate MI to provide impactful and concise information as to the status of regulatory change.
• Work closely with Change to implement Regulatory change
• Understanding the current regulatory reporting governance, controls and architecture in place at MUFG [Front to Back]
• Build and roll out appropriate strategic MI to provide impactful and concise information as to the status of regulatory change.
• Responsible for the business line control framework (Risks and Key controls) which are required to mitigate against operational failure within the product channel.  
• Supporting the product channel to demonstrate / evidence that it is “in control” through:
• Control Assurance Testing
• Procedure and Policy Management
• Execution of Internal control activities

WORK EXPERIENCE

• 8+ years of relevant professional experience working within a Regulatory Role (Change, Assurance…)
• Experience in operational risk analysis
• Demonstrable stakeholder management skills
• Demonstrable time management skills

SKILLS AND EXPERIENCE

Would expect the candidate to have:

• Strong working understanding of  reporting requirements primarily under SFTR MiFID II, EMIR, CFTC and knowledge of ASICS and HKMA and CSA as secondary.
• Good product knowledge across Equities, Bonds, Repo, Securities Lending, ETD’s and OTC derivatives.
• Effective at network building and forming relationships.
• Ability to work effectively in matrix structure and to leverage the input / engagement of colleagues in other departments
• Strong functional knowledge of operations and trade life cycles
• Strong analytical and problem solving skills
• Proficient with core Microsoft desktop software

Preferred additional skills / experience

• Bloomberg / Fidessa / Murex knowledge/experience
• Technical background that could help interrogate Trade messages and/or data such as XML.
• Knowledge of APA/ARM software for transaction reporting

Education / Qualifications:

• Degree/College educated or equivalent work experience

PERSONAL REQUIREMENTS

• Excellent communication and interpersonal skills
• Results driven, with a strong sense of accountability
• A pro-active, motivated approach to work
• The ability to operate with urgency and prioritise work accordingly
• The ability to manage large workloads and tight deadlines
• Excellent attention to detail and accuracy
• A calm approach, with the ability to perform well in a pressurised environment

This advert will close 18th December 2025

We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.