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About the Role

MUFG is seeking a Director to lead the U.S. Broker-Dealer Regulatory Affairs & Registrations function. This role provides enterprise leadership, governance, and strategic oversight of the firm's regulatory affairs, reporting, licensing, and registration programs to ensure a strong regulatory posture and a sustainable control environment. The role is accountable for establishing and maintaining a consistent framework for regulatory engagement, supervisory interactions, reporting, and registration governance that supports business growth while meeting regulator expectations.

Responsibilities

Accountable for the enterprise strategy and governance framework governing regulatory engagement across the U.S. broker-dealer.
Provide leadership and oversight for regulatory examinations, inquiries, sweeps, and supervisory interactions.
Establish standards and governance processes for regulatory communications, submissions, and responses.
Advise senior management on regulatory developments, examination priorities, and emerging supervisory expectations.
Lead the firm's regulatory reporting governance program, including oversight of FINRA Rule 4530 reporting and the FINRA Rule 3130 Annual CEO Certification process.
Represent the firm in industry forums, regulatory working groups, and external engagements.
Provide enterprise leadership for the broker-dealer licensing and registration framework.
Establish governance standards and controls governing registration requirements, regulatory filings, disclosures, continuing education obligations, and registration data management.
Drive consistent interpretation and application of regulatory registration requirements across business activities, personnel changes, organizational structures, and strategic initiatives.
Provide executive oversight of complex registration, licensing, and disclosure matters.
Ensure adherence to broker-dealer membership requirements and applicable SEC, FINRA, and NFA obligations.
Establish and maintain the governance framework supporting Regulatory Affairs and Registration activities.
Drive ongoing assessment of regulatory and operational risks, identifying emerging issues, control gaps, and opportunities for enhancement.
Ensure management information, metrics, and reporting provide meaningful insights to support executive decision-making and governance oversight.
Lead remediation efforts for regulatory findings, audit observations, and process deficiencies.
Drive modernization of regulatory affairs and registration processes through standardization, automation, improved data governance, and enhanced reporting capabilities.
Lead strategic initiatives that strengthen operational resilience, regulatory readiness, and scalability of the Regulatory Affairs & Registrations function.
Partner across Compliance, Legal, Risk, Operations, Technology, and Human Resources to deliver enterprise-wide solutions.
Provide leadership for the Regulatory Affairs & Registrations function, establishing strategic priorities aligned with regulatory expectations and business objectives.
Build organizational capability through talent development, coaching, succession planning, and performance management.
Foster a culture of accountability, regulatory excellence, transparency, and continuous improvement.
Develop and retain a high-performing team with strong technical expertise and leadership capabilities.
Influence and collaborate across a matrixed organization to drive effective decision-making, risk management, and execution of strategic priorities.
Promote an environment that encourages challenge, escalation, learning, and continuous professional development.

Requirements

Bachelor's degree or equivalent experience.
Significant experience within U.S. broker-dealer Compliance, Regulatory Affairs, Registrations, or Regulatory Risk functions.
Deep knowledge of FINRA, SEC, and NFA regulatory frameworks and broker-dealer supervisory expectations.
Demonstrated experience leading regulatory examinations, regulatory reporting programs, and supervisory interactions.
Experience leading teams and managing complex regulatory, operational, and governance initiatives.
Strong executive communication, stakeholder management, and influencing capabilities.

Skills

Expertise in U.S. broker-dealer regulatory frameworks, regulatory reporting, and registration governance.
Strong understanding of FINRA Rules 4530 and 3130, registration requirements, and supervisory control environments.
Experience designing and enhancing governance frameworks and control programs.
Ability to assess regulatory risk, challenge existing processes, and drive sustainable improvements.
Strong program management, analytical, and problem-solving capabilities.
Strategic leadership and enterprise thinking.
Executive presence and influence.
Strong regulatory and risk management acumen.
Governance and oversight excellence.
Talent development and succession planning.
Cross-functional collaboration and stakeholder management.
Change leadership and continuous improvement.
Integrity, accountability, and sound judgment.

Location

MUFG office or client sites

Work Type

Hybrid

Experience Level

Director

Education Level

Bachelor's degree or equivalent experience
Advanced degree (e.g., JD, MBA, Master's degree) - Preferred
FINRA Series 7, Series 24, Series 14, or comparable regulatory licensing - Preferred

Salary/Compensations

The typical base pay range for this role is between $185,000 - $242,000.
This role may also be eligible for certain discretionary performance-based bonuses and/or incentive compensation.

Benefits

Comprehensive health and wellness benefits
Retirement plans
Educational assistance and training programs
Income replacement for qualified employees with disabilities
Paid maternity and parental bonding leave
Paid vacation, sick days, and holidays

About the Company

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups with 150,000 colleagues globally.
MUFG stands for its values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
MUFG's vision is to be the world’s most trusted financial group.
It is part of MUFG's culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility.
MUFG invests in talent, technologies, and tools that empower employees to own their career.

Equal Opportunity

We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business.
We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws.