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About the Role

MUFG is seeking a Vice President for Markets Compliance Testing (Second Line of Defence) to join their London office, playing a pivotal role in the delivery of risk-based assurance and compliance testing across EMEA. This is an exceptional opportunity to work within a globally respected financial institution renowned for its commitment to integrity, robust governance, and continuous professional development. As part of the Compliance Testing Delivery team, you will be instrumental in supporting business growth through high-quality reporting and independent challenge, while nurturing a culture of collaboration and knowledge sharing. MUFG offers a supportive environment where your expertise will be valued, and your career progression actively encouraged. You will benefit from flexible working arrangements, generous pension contributions, and access to ongoing training opportunities that empower you to expand your skills and make a meaningful impact on both the organisation and your own professional journey.

Responsibilities

Play a key role in delivering risk-based compliance testing and monitoring plans across EMEA, providing independent assurance to senior management while collaborating closely with regulators, auditors, and internal stakeholders.
Benefit from comprehensive training opportunities and supportive leadership that encourages personal growth, knowledge sharing, and the development of your technical expertise within a highly knowledgeable team.
Lead complex risk-based markets compliance reviews that underpin the firm’s assurance framework.
Collaborate closely with senior management, regulators, auditors, Internal and global teams and internal teams to ensure robust controls are maintained.
Supervise junior colleagues and foster their development through coaching and mentoring sessions.
Analyse regulatory and market risks and embed best practices into operational processes.
Contribute significantly to departmental planning by identifying key areas for review based on evolving regulations.
Update procedures to ensure MUFG remains compliant with industry standards while facilitating prompt remedial actions.
Drive transparency across the organisation through clear reporting and stakeholder engagement.
Participate in technology projects to support regulatory implementations.
Deliver risk-based markets compliance thematic and desk reviews across London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders.
Support the planning and execution of globally led reviews across EMEA, US and APAC regions.
Lead the design and execution of risk-based testing programmes, ensuring all processes are run efficiently to deliver reliable information that supports business growth and control procedures.
Supervise, coach, support, and train junior members of the Compliance Testing Delivery team while managing direct reports to foster a collaborative environment.
Conduct high-quality technical analysis of regulatory risks and requirements applicable to specific activities, embedding these into operational practices to mitigate risks effectively.
Assist management in creating and delivering the department’s Assurance Plan by identifying key areas of focus for reviews based on current regulatory developments.
Periodically review relevant procedures, systems, and controls to ensure they are up-to-date and effective; facilitate remedial action where necessary.
Provide regular management information (MI) for periodic compliance reports to senior management, ensuring clarity and accuracy in communication.
Act as a subject matter expert (SME) in compliance technology or regulatory implementation projects; participate in staff training, procedure updates, and administration tasks as required.
Develop strong relationships with key stakeholders across front office and support functions through effective communication and issue escalation.
Track, manage, and take ownership of remediation actions related to compliance & conduct issues by working collaboratively with relevant business stakeholders.

Requirements

Proven experience as Vice President, Markets Compliance Testing.
Deep familiarity with regulatory requirements governing financial institutions operating across EMEA.
Extensive hands-on expertise in designing risk-based reviews that address complex compliance challenges faced by banks or securities firms.
Ability to interpret UK/EU regulations and embed best practices into operational processes.
Strong interpersonal skills to engage regularly with diverse stakeholders, build trust through honest communication, and address substantive issues promptly.
Supervisory experience to manage direct reports and nurture their growth via coaching sessions or mentoring initiatives.
Excellent written communication skills for producing clear, concise, and comprehensive reports for internal audiences (senior management) and external parties (regulators).
Experience participating in departmental risk assessments to set priorities aligned with organisational goals.
Ability to act independently as an SME on compliance matters, including technology projects.
Supporting wider division objectives reflects loyalty towards communal success.
Commitment towards ongoing learning to remain knowledgeable about industry trends.
Extensive experience in compliance testing or quality assurance within financial services or banking environments ideally covering markets activities across EMEA.
In-depth knowledge of UK and EU regulatory frameworks including practical interpretation of regulations relevant to banking or securities operations.
Proven ability to deliver technically complex risk-based reviews with comprehensive analysis tailored for senior management audiences.
Strong interpersonal skills enabling you to build lasting relationships with stakeholders across front office functions as well as support teams.
Demonstrated capability in supervising teams including coaching junior staff members through developmental opportunities such as bilateral meetings or mentoring sessions.
Experience participating in departmental risk assessment exercises contributing insights that help direct compliance priorities effectively.
Ability to act independently as an SME on compliance matters including technology or regulatory implementation projects; comfortable supporting staff training initiatives.
Track record of managing remediation actions collaboratively with business stakeholders ensuring timely resolution of compliance & conduct issues.
Commitment to ongoing professional development demonstrated by active participation in training platforms or industry knowledge enhancement activities.

Skills

Risk-based assurance and compliance testing
Regulatory and market risk analysis
Stakeholder engagement
Coaching and mentoring
Technical analysis
Procedure updates
Reporting
Technology project participation
Subject matter expertise (SME)
Relationship building
Remediation action management
UK/EU regulatory interpretation
Compliance technology
Regulatory implementation

Location

London

Work Type

Flexible working arrangements

Experience Level

Vice President
Senior

Benefits

Flexible working arrangements
Generous pension contributions
Access to ongoing training opportunities

About the Company

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups.
We are 150,000 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.
MUFG offers a supportive environment where your expertise will be valued, and your career progression actively encouraged.
Join a global leader in banking with a strong reputation for ethical standards, inclusive culture, and commitment to employee development.

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.