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About the Role

This role offers a pivotal opportunity within MUFG's global Compliance function, supporting investment banking activities across banking and securities businesses under a dual-hat arrangement. You will have high visibility, direct engagement with senior stakeholders, and the chance to shape regulatory practices in an international environment.

Responsibilities

• Provide comprehensive advisory coverage across private side businesses with a particular focus on Corporate & Investment Banking, ensuring all activities are compliant with relevant regulations.
• Offer expert advice and guidance to private side business units on complex regulatory matters and conduct issues, acting as the primary point of contact for compliance queries.
• Participate actively in both local and global projects, driving the operational implementation of key regulatory change initiatives that affect the bank and securities business.
• Draft, review, and update policies and procedures as necessary to ensure alignment with evolving regulatory requirements and best practices.
• Deliver face-to-face training sessions to front office staff on regulatory obligations and conduct expectations, fostering a culture of compliance throughout the organisation.
• Support internal and external enquiries or investigations by providing accurate information and collaborating effectively with relevant stakeholders.
• Operate under a dual-hat arrangement by making decisions on behalf of both MUFG Bank and MUFG Securities EMEA plc within your remit and authority level.
• Identify potential conflicts of interest between entities, escalating issues appropriately to maintain legal entity integrity and ensure fair support for each business line.
• Maintain highly organised records of compliance activities, ensuring accuracy and timely completion of all required documentation.
• Contribute positively to departmental objectives by sharing knowledge, supporting colleagues, and participating in continuous improvement initiatives.

Requirements

• Demonstrated experience in compliance advisory roles within front office environments at major investment banks or similar financial institutions is essential for this position.
• Comprehensive understanding of investment banking products such as loans and structured finance is required to provide effective guidance across private side businesses.
• In-depth knowledge of risk management principles, compliance frameworks, and internal controls relevant to capital markets operations is vital for success in this role.
• Thorough familiarity with key regulations affecting capital markets products—including MiFID II, MAR, Competition Law—and their practical application within an international context is expected.
• Exceptional interpersonal skills are needed to build trust-based relationships with stakeholders at all levels while delivering clear advice on complex regulatory matters.
• Outstanding written and verbal communication abilities are essential for drafting policies, delivering training sessions, and responding effectively during investigations or enquiries.
• A proven track record of operating autonomously when appropriate while knowing when escalation is necessary demonstrates sound judgement and reliability.
• Highly organised approach with strong prioritisation skills enables effective management of large workloads under tight deadlines without compromising accuracy or quality.
• A university degree or equivalent qualification provides the educational foundation required for this senior advisory position within MUFG’s Compliance function.

Skills

• MiFID II
• MAR
• Competition Law
• Risk Management
• Compliance Frameworks
• Internal Controls
• Investment Banking Products
• Interpersonal Skills
• Communication Skills
• Organisational Skills
• Prioritisation Skills

Location

• London

Work Type

• Flexible working

Experience Level

• Vice President
• Senior

Education Level

• University degree or equivalent qualification

Benefits

• Ongoing training opportunities
• Access to a broad network of professionals

About the Company

• MUFG is one of the world’s leading financial groups with 150,000 colleagues globally.
• The company's vision is to be the world’s most trusted financial group.
• MUFG values integrity, responsibility, and commitment to sustainable growth.
• The company fosters a collaborative culture that values transparency, fairness, and professional development.
• MUFG offers unparalleled opportunities for professional growth within an inclusive culture that celebrates diversity and collaboration.
• Employees benefit from access to extensive resources spanning commercial banking, asset management, securities trading, consumer finance, leasing services, and more—all supported by cutting-edge technology platforms.

Equal Opportunity

• 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.