Compliance Advisory Vice President

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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

We are seeking a highly motivated and detail-oriented Senior Compliance Advisory & Market Surveillance Analyst to support a diverse portfolio of regulatory compliance, market surveillance, governance, and regulatory change management activities across multiple MUFG entities, including MUSA, MUBK, Intrepid, MUS(CAN), MUSE, and affiliated international offices.

This role serves as a key liaison between Compliance, Regulatory Affairs, Operations, Technology, Risk Management, Human Resources, and business stakeholders. The successful candidate will provide regulatory guidance, manage compliance programs, oversee regulatory developments, conduct surveillance reviews, maintain critical compliance reporting processes, and support policy governance initiatives.

The ideal candidate possesses strong analytical skills, working knowledge of U.S. securities regulations, market conduct surveillance frameworks, and the ability to manage multiple compliance obligations in a dynamic environment.

Key Responsibilities

Regulatory Advisory & Governance

• Provide best-efforts TRACE eligibility determinations for products reported through TRACE reporting systems in partnership with Regulatory Operations.
• Review and assess applications for SEC Rule 15a-6 exemptions for personnel from international affiliate entities, including MUHK, MUMMS, and MUSI EMEA.

• Serve as a subject matter resource and business owner for compliance matters, systems, and workflows, providing employee guidance, stakeholder training, walkthroughs, and support on regulatory requirements, compliance processes, and related tools.
• Participate in audits, examinations, testing activities, and regulatory inquiries while supporting ongoing process improvements across Compliance and Regulatory Affairs programs.

Regulatory Reporting & Operational Compliance

• Manage annual CalSTRS Form 600-H disclosure submissions.
• Support Large Trader Reporting (Rule 13H) obligations and notice-of-change processes.
• Serve as department liaison for Records and Information Management (RIM) requirements, including annual record inventories.

• Conduct Third-Party Compliance Risk Management (TPCRM) assessments, assign risk ratings associated with third-party relationships, and coordinate remediation efforts while maintaining supporting documentation.

• Maintain compliance documentation, evidence repositories, and reporting obligations.

Policy & Procedure Governance

• Coordinate Written Supervisory Procedures (WSPs) updates, maintenance, publication, policy revisions, and global governance communications with business and compliance stakeholders.

• Prepare annual Rule 3130 reporting and certifications.

Regulatory Change and Enforcement Action Monitoring & Reporting

• Monitor regulatory developments from agencies including FINRA, SEC, CFTC, NFA, FinCEN, NYSE, Nasdaq, and other applicable regulators to analyze regulatory notices, no-action letters, staff interpretations, enforcement actions, and industry developments.

• Maintain comprehensive regulatory change trackers, distribute updates to stakeholders, and manage the end-to-end regulatory change management process from proposed rules through implementation and validation.

• Maintain enforcement action trackers across applicable entities and prepare summaries, analyses, and commentaries on regulatory settlements, disciplinary actions, rule violations, and penalties to support compliance reporting and risk assessments.
• Provide regulatory and enforcement action content for monthly Americas and Global Compliance newsletters.

Gifts & Hospitality Compliance

• Review, approve, or deny Gifts & Hospitality submissions in accordance with applicable policies and Anti-Bribery & Corruption requirements.

• Administer MCO workflows, coordinate with stakeholders, support testing and audits, conduct periodic policy reviews, and implement system and procedural enhancements.

• Deliver employee training and guidance on Gifts & Hospitality reporting requirements.

The typical base pay range for this role is between $133K - $175K depending on job-related knowledge, skills, experience, and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes 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, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.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.