Assistant Vice President - US Swap Dealer Regulations – Compliance Advisory

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 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.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

MUFG, one of the world’s most respected financial groups, is seeking an Assistant Vice President for Swap Dealer Regulations Compliance Advisory to join their London office. This role offers you the opportunity to become a pivotal part of a global network, supporting operational efficiency in U.S. regulatory compliance and reporting across EMEA. You will be immersed in a culture that values integrity, transparency, and responsibility, with access to broad exposure across banking and securities business lines. MUFG’s commitment to nurturing talent means you’ll benefit from ongoing training opportunities, supportive leadership, and flexible working arrangements. If you are looking for a role where your expertise in compliance can make a meaningful impact while being part of a team that fosters shared growth and long-term relationships, this is your chance to thrive.

• Join a globally renowned financial institution with over 150,000 employees and a rich history spanning 350 years, offering unparalleled opportunities for professional development and international exposure.

• Work within a collaborative environment that prioritises integrity, transparency, and honest communication, ensuring your contributions are valued and recognised as part of a supportive team.

• Benefit from flexible working opportunities and comprehensive training programmes designed to help you grow your skills and advance your career within the compliance advisory space.

What you'll do:

As Assistant Vice President Swap Dealer Regulations Compliance Advisory at MUFG, you will play an integral role in shaping the operational efficiency of U.S. regulatory compliance across EMEA. Your daily responsibilities will involve managing complex regulatory tasks, preparing essential reports for U.S. regulators, advising stakeholders on compliance matters, and developing robust frameworks that support adherence across multiple business lines. You will collaborate with various teams to update policies and deliver impactful training sessions while representing the department at key committees. Success in this role requires you to proactively identify areas for improvement within compliance processes, foster co-operation among stakeholders from different regions, and ensure that all activities are conducted with utmost integrity. Your ability to navigate dual-hat responsibilities between banking and securities entities will be crucial in maintaining neutrality and supporting both businesses effectively.

• Develop efficient workflows and operational models for U.S. regulatory compliance tasks across both banking and securities business lines under a dual-hat arrangement.

• Manage day-to-day U.S. regulatory tasks including preparing and submitting required reports to regulators such as CFTC/NFA and SEC.

• Assist in the development and monitoring of the compliance framework across all relevant business lines operating in EMEA, ensuring adherence by impacted departments.

• Provide proactive advice, guidance, and constructive challenge to businesses on regulatory compliance matters related to swap dealer regulations.

• Collaborate closely with other Compliance teams, including Advisory team members, to draft and update policies, procedures, and deliver targeted training sessions.

• Deliver training to front office staff on regulatory and conduct matters with particular focus on U.S. regulation including Swap Associated Persons.

• Represent Advisory Compliance at the Swap Dealer Oversight Committee as required, acting as a key point of contact for U.S. regulatory advisory matters.

• Assist in drafting annual CFTC/NFA and SEC Compliance reports and conducting lookback exercises to ensure thorough review of compliance activities.

• Support CFA/NFA audits by providing accurate information and documentation as needed for regulatory reviews.

• Identify potential conflicts between MUFG Bank and MUFG Securities EMEA plc requirements, escalating issues appropriately to maintain legal entity integrity.

What you bring:

Your proven experience as an Assistant Vice President Swap Dealer Regulations Compliance Advisory will demonstrate your deep familiarity with financial services environments where legal or compliance functions are central. You bring not only technical knowledge but also exceptional interpersonal skills that allow you to connect with colleagues across diverse regions. Your capacity for empathy ensures that you understand stakeholder needs while maintaining rigorous standards of confidentiality inherent in regulatory work. With your structured approach to problem-solving, you consistently deliver accurate results even under pressure. Your educational foundation in Law or Finance equips you with analytical tools necessary for navigating complex regulations such as MAR, MiFID II, and U.S. swap dealer requirements. By sharing your expertise through training sessions and collaborative projects, you contribute positively to the communal success of the team.

• Comprehensive understanding of market compliance requirements and investment banking products including OTC derivatives is highly desirable.

• Demonstrated knowledge of MAR (Market Abuse Regulation), MiFID II (Markets in Financial Instruments Directive), and U.S. regulatory compliance frameworks is required.

• Strong grasp of risk management principles, compliance controls, and key regulations applicable to markets products is necessary.

• Excellent interpersonal skills enabling effective collaboration with stakeholders across regions and departments are vital.

• Outstanding communication abilities allowing you to provide clear guidance on complex regulatory matters are expected.

• Highly organised approach with attention to detail ensures accuracy in reporting and adherence to deadlines.

• Ability to act dependably when appropriate while knowing when escalation is necessary demonstrates sound judgement.

• A strong educational background with a university degree preferably in Law or Finance supports your technical expertise.

• Experience delivering training sessions on regulatory topics enhances your suitability for this advisory role.

What sets MUFG apart:

MUFG stands out as one of the world’s leading financial groups thanks to its unwavering commitment to integrity, responsibility, and transparency. Headquartered in Tokyo with operations spanning more than 50 countries worldwide—including Europe’s vibrant financial hub in London—MUFG offers employees access to an expansive network where personal growth is encouraged through generous training opportunities. The organisation’s vision centres around building long-term relationships with clients while fostering sustainable growth for society at large. Employees benefit from flexible working arrangements tailored to support work-life balance alongside supportive leadership that values teamwork above all else. At MUFG you will find yourself surrounded by knowledgeable professionals who share your dedication to excellence within an inclusive environment where every voice is heard. The company’s common values underpin everything it does—from commercial banking through asset management—ensuring that each employee feels connected not just professionally but personally as well.

What's next:

If you are ready to take your career further within a globally respected organisation committed to nurturing talent and fostering shared success, this is your moment—apply now!

Apply today by clicking on the link provided.

We are open to considering flexible working requests in line with organisational requirements.

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.