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Closing date
26 Jun 2022

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Contract Type
Full Time
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Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world. Across the globe, we're 180,000 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.


MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia.. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

As one of the largest financial groups globally with a vison to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards. Behaving with integrity and responsibility, underpinned by a desire to build a culture which is fair, transparent, and honest, drives everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

Please visit our website for more information -

Department overview

The European Compliance Division (ECOD) is responsible for providing guidance on regulatory matters relating to relevant business activities undertaken by the firm and to advise generally on the treatment and interpretation of both European and International compliance rules and regulations. Markets Advisory assists Department Heads with the development of desk policies and procedures to comply with regulatory requirements and to ensure implementation of regulatory developments.



  • This role will be the primary lead for all Sales and Trading Compliance related matters and provide regulatory advice and coverage across "FIC" (Fixed Income and Currencies) and Equities. Specifically, Rates, Credit, FX, Cash Equities and Equity derivatives. Act as a key point of delegation and support to the Head of Markets Advisory compliance.
  • Engage with Front Office and other key stakeholders (e.g. Risk/COO/Legal on any Regulatory compliance matters arising within Global Markets) in order to provide proactive, quality advice and support on regulatory compliance matters.
  • Support the Head of Markets Advisory on wider regulatory or strategic projects.

  • In this role, you will lead the team in its provision of advice and guidance to the Global Markets Sales and Trading teams across EMEA for both MUFG's banking arm and securities business under a dual-hat arrangement. Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you.



Functional / Technical Competencies:
  • Excellent Global Markets Sales and Trading product knowledge and business understanding. Experienced dealing with relevant Front office areas on a day to day advisory/ dealing floor capacity.
  • Strong understanding of the FCA regulatory environment and handbook as well as European and Extraterritorial regulations impacting the business from a practical perspective, specifically MiFID II, MAR, Dodd-Frank and Volcker.
  • Strong knowledge of key/current regulatory issues impacting relevant front office business
  • Demonstrated leadership

Work Experience:
  • Compliance advisory experience within a front office business line role, ideally in an investment banking organization
  • Experience of interacting with front office teams on regulatory compliance matters
  • Proven leadership

Education / Qualifications:
  • Degree Level or equivalent qualifications and experience

  • Excellent communication skills
  • Results driven, with a strong sense of accountability
  • A proactive, motivated approach
  • Sharp intellect
  • The ability to operate with urgency and priorities work accordingly
  • Strong decision making skills, the ability to demonstrate sound judgement
  • Strong problem solving skills
  • Excellent interpersonal skills
  • 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 pressurized environment
  • Strong numerical skills
  • Excellent Microsoft Office skills

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.
  • Location: London
  • Type: Full time
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