OverviewVice President or Director, Compliance Advisory - US Regulations CFTC and SBSD Swap Dealer at MUFG. This high visibility role will establish the US regulatory compliance and reporting framework for the EMEA region, covering CFTC/NFA and SEC Swap Dealer requirements, and will be the primary contact for US regulation advisory and related tasks management.Main purpose of the roleThis role is responsible for establishing the EMEA region's operational efficiency in US regulatory compliance and reporting, including CFTC/NFA and SEC Swap Dealer tasks. It involves compiling required reporting to US authorities and direct exposure to all levels of the business.Number of direct reportsOneKey responsibilitiesAct across MUFG’s banking arm and securities business under a dual-hat arrangement; serve as the SME of US regulatory requirements.Develop an efficient US regulatory tasks framework and workflow for both the bank and the securities business with consistent remit and authority.Carry out 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, including uplift of CFTC/NFA and SEC programmes and monitoring adherence.Provide proactive advice and challenge to the businesses on regulatory compliance matters, particularly US regulatory issues (risk identification, escalation, and management).Collaborate with the Regulatory Change Team on regulatory developments, including drafting/updating policies, procedures, and delivering training.Provide training to the front office on regulatory and conduct matters with a focus on US regulation, including Swap Associated Persons.Represent Advisory Compliance at the Swap Dealer Oversight Committee.Draft annual CFTC/NFA and SEC Compliance reports and conduct lookback exercises.Act as Compliance Lead on CFA/NFA audits.Work ExperienceEssential:Extensive compliance experience within an Advisory/Legal function, specializing in US regulatory compliance.Extensive experience in a Market Side Compliance Advisory role within an investment banking organization.Skills and ExperienceFunctional / Technical Competencies:Strong understanding of Market Compliance and investment banking products (including loans, bonds, structured finance) with strong experience in Sales and Trading.In-depth knowledge of MAR, MiFID II, and US regulatory compliance.Strong knowledge of risk, compliance, and controls.Understanding of regulations applicable to markets products (MiFID II, MAR, US reg).Strong interpersonal and communication skills; ability to challenge constructively and autonomously when appropriate.Highly organized, goal-oriented, and solutions-focused; ability to escalate as needed.Education / QualificationsEssential:University degree, preferably in Law and/or Financial Regulation.US regulatory compliance experience (at least 5 years, more preferred) in investment banking.Personal requirementsExcellent communication skills and a proactive approach.Ability to operate with urgency, prioritize work, and manage large workloads and tight deadlines.Sound judgment and strong decision-making skills.Structured, logical approach and excellent attention to detail.Ability to work collaboratively with stakeholders across regions and Head Office; maintain confidentiality.Strong researching skills for US regulatory tasks.MUFG is committed to diversity and inclusion and to non-discriminatory recruitment and employment practices. We welcome flexible working requests in line with organisational requirements. #J-18808-Ljbffr