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About the Role

This high-profile opportunity places you at the heart of regulatory compliance for both MUFG Bank and MUFG Securities EMEA plc, offering direct exposure to senior leadership and a pivotal role in shaping the compliance landscape across the region. You will benefit from working within a culture that prizes integrity, transparency, and responsibility, while enjoying the challenge of building out robust frameworks and policies that underpin MUFG’s commitment to being the world’s most trusted financial partner. The role promises not only significant influence but also the chance to collaborate with talented colleagues across multiple jurisdictions, all within an organisation dedicated to long-term relationships and sustainable growth.

Responsibilities

Oversee the development and implementation of a comprehensive Conflicts of Interest, Insider List, Watch List, MNPI, Wall Crossing, Treeing and Restrict List management framework (CCR related tasks) across all EMEA business lines.
Act as the primary contact for all CCR related task management and advisory compliance matters within the region, ensuring consistent application of policies and procedures.
Exercise delegated authority from the EMEA Head of Advisory to make decisions regarding CCR staff management, policy development, GRL oversight, and workflow optimisation.
Support the EMEA Head of Advisory by providing expert guidance on complex regulatory issues and stepping in as needed to ensure seamless operations.
Collaborate closely with compliance teams throughout EMEA to educate business units on regulatory requirements and best practices related to CCR activities.
Assist in formulating international CCR policies and standards while contributing to the evolution of a Global Control Room function.
Deliver clear advice, guidance, and constructive challenge to business stakeholders on regulatory compliance matters with particular focus on risk identification, escalation protocols, and issue resolution.
Draft, review, and update internal policies and procedures as required to reflect evolving regulations or organisational needs.
Provide targeted training sessions for front office staff on regulatory conduct matters relevant to CCR responsibilities.
Manage a team of four direct reports within the Control Room function, fostering their professional development and ensuring high performance.

Requirements

Substantial experience gained within investment banking compliance settings, ideally having managed or contributed significantly to control room or conflicts office functions.
Technical expertise spanning capital markets products.
Deep familiarity with MAR and MiFID II frameworks.
Outstanding communication skills allowing you to build trust-based relationships with colleagues across geographies while providing clear guidance on complex regulatory issues.
Inclusive leadership style valuing collaboration over hierarchy.
Methodical yet flexible approach to adapt quickly when priorities shift.
Keen eye for detail combined with an unwavering commitment to confidentiality.
Passion for supporting others’ growth aligns perfectly with MUFG’s ethos of nurturing talent within a supportive global network.
Comprehensive understanding of capital markets products including loans, bonds, structured finance instruments as well as sales and trading activities.
In-depth knowledge of Market Abuse Regulation (MAR), MiFID II compliance requirements, risk management principles, controls frameworks and other key regulations affecting capital markets.
Exceptional interpersonal skills enabling effective communication with stakeholders at all levels across diverse regions.
Proven ability to provide independent yet constructive challenge when necessary in order to facilitate engagement and drive positive outcomes.
Demonstrated capacity for autonomous action balanced by sound judgement regarding escalation points.
Highly organised approach with strong goal orientation; adept at prioritising workloads under pressure without sacrificing accuracy or attention to detail.
Strong educational background ideally including a university degree in Law or Financial Regulation or similar discipline relevant to compliance functions.
Excellent project management capabilities combined with motivational leadership style suited for managing direct reports within high-stakes environments.
A calm demeanour under pressure coupled with discretion regarding confidential information flows inherent in control room operations.

Skills

Conflicts of Interest Management
Insider List Management
Watch List Management
MNPI Management
Wall Crossing
Treeing
Restrict List Management
Regulatory Compliance
Policy Development
Training Delivery
Information Oversight
Team Collaboration
Risk Management
Escalation Protocols
Issue Resolution
Project Management
Leadership

Location

London

Work Type

Full-time
Hybrid

Experience Level

Director

Education Level

University degree in Law or Financial Regulation or similar discipline

Benefits

Access to extensive resources
Professional development programmes
Cross-border collaboration opportunities

About the Company

MUFG stands apart as one of the world’s largest financial institutions not only because of its scale but also due to its enduring commitment to ethical conduct and social responsibility.
With roots stretching back nearly 350 years MUFG has cultivated a reputation for stability innovation and client-centric service—qualities reflected in its diverse portfolio spanning commercial banking asset management securities services consumer finance leasing solutions among others.
Employees benefit from access to extensive resources professional development programmes cross-border collaboration opportunities—and above all—a workplace culture grounded in fairness transparency mutual respect.
At MUFG you are encouraged to stretch your abilities knowing your contributions are valued within an organisation that prioritises long-term relationships shared prosperity sustainable growth for clients communities alike.
The London office serves as a vibrant hub connecting you with talented professionals from around the globe—all united by common values that place integrity at the heart of everything they do.

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.