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About the Role

Serve as the primary governance, controls, and business management partner for MUFG's US Equity Research organization. This role ensures the Research platform operates in a controlled, efficient, and scalable manner, advising leadership on regulatory, operational, and strategic matters while driving initiatives to strengthen governance and enhance operating effectiveness.

Responsibilities

Serve as the primary controls and business management partner to the US Equity Research organization, advising leadership on regulatory, supervisory, operational, and strategic matters.
Maintain the Research governance, risk, and control framework, including policies, procedures, controls, risk assessments, management reporting, and oversight processes.
Lead the Research Risk and Control Self-Assessment (RCSA) process and coordinate ongoing risk monitoring, control reviews, issue management, and remediation activities.
Identify, assess, and escalate regulatory, operational, supervisory, and reputational risks impacting the Research business.
Develop and monitor management reporting, key risk indicators, business metrics, and dashboards to support effective decision-making and oversight.
Coordinate regulatory examinations, compliance reviews, internal audits, control testing, and other assurance activities affecting the Research organization.
Support regulatory inquiries and interactions by coordinating information requests, documentation, and management responses.
Advise Research leadership on regulatory developments, governance matters, supervisory practices, and opportunities to enhance the control environment.
Serve as a designated backup Supervisory Analyst, performing review and approval responsibilities as needed to support research publication oversight, regulatory compliance, and business continuity.
Support execution of strategic initiatives, operating priorities, and business plans to enhance the effectiveness and scalability of the Research platform.
Partner with Technology, Operations, Compliance, Legal, Finance, Human Resources, and Risk Management to drive process improvements, workflow enhancements, automation opportunities, and control enhancements.
Manage key Research vendor and technology relationships, including platform governance, service delivery, contract oversight, and operational support.
Support budget management, resource planning, expense oversight, and other business management activities for the Research organization.
Prepare presentations, analyses, and materials for senior management, governance committees, regulators, and other stakeholders.
Promote a strong culture of accountability, risk awareness, and effective governance across the Research organization.

Requirements

Bachelor's degree in Finance, Economics, Business Administration, Accounting, or a related field.
7-10 years of experience supporting an Equity Research organization in a controls, supervisory, compliance, business management, operational risk, or related governance capacity.
Strong understanding of SEC and FINRA requirements applicable to Equity Research, including FINRA Rule 2241, Global Research Settlement obligations, research conflicts management requirements, information barrier controls, and research publication governance.
Experience supporting research publication, supervisory, approval, or oversight processes within a broker-dealer environment.
Experience developing and maintaining governance, risk, and control frameworks, including risk assessments, issue management, remediation activities, key risk indicators, management reporting, and regulatory interactions.
Demonstrated ability to coordinate regulatory examinations, compliance reviews, internal audits, and other assurance activities.
Strong understanding of Research operating models, workflows, technology platforms, vendor relationships, and production processes.
Demonstrated ability to independently assess risks, challenge business practices, and provide practical recommendations to senior management.
Excellent analytical, communication, presentation, and stakeholder management skills.
Advanced proficiency in Microsoft Office applications, including Excel and PowerPoint.
Ability to work independently and effectively manage multiple priorities in a fast-paced environment.

Skills

SEC requirements
FINRA requirements
FINRA Rule 2241
Global Research Settlement obligations
Research conflicts management
Information barrier controls
Research publication governance
Risk assessment
Issue management
Remediation activities
Key risk indicators
Management reporting
Regulatory interactions
Regulatory examinations
Compliance reviews
Internal audits
Assurance activities
Research operating models
Workflows
Technology platforms
Vendor relationships
Production processes
Risk assessment
Challenging business practices
Providing recommendations
Analytical skills
Communication skills
Presentation skills
Stakeholder management
Microsoft Office Suite
Excel
PowerPoint
Independent work
Priority management
Series 16 registration
Supervisory Analyst
Research publication review
BlueMatrix
Technology initiatives
Workflow automation
AI initiatives
Business transformation
Budget management
Vendor oversight
Strategic planning

Location

MUFG office or client sites

Work Type

Hybrid

Experience Level

Vice President
7-10 years

Education Level

Bachelor's degree

Salary/Compensations

$111K - $173K base salary

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's vision is to be the world's most trusted financial group.
The company culture emphasizes putting people first, listening to diverse ideas, and collaborating for innovation, speed, and agility.
MUFG invests in talent, technologies, and tools to empower employee careers.

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.