12 Enforcement Director jobs in the United Kingdom

Compliance Director | Wealth Management

Our client operates in the financial services industry, focusing on wealth, asset, and fund management. They are committed to maintaining a culture of innovation, regulatory compliance, and client-centric services.

Our client is seeking a Compliance Director to support the CRO and Executive Committee in fostering a constructive dialogue with regulatory authorities. This role plays a strategic function in overseeing regulatory compliance frameworks, guiding business lines on regulatory matters, and collaborating with stakeholders to ensure adherence to standards and regulations.

Responsibilities:

• Cultivate a strong relationship with regulatory authorities, particularly the FCA
• Ensure the company operates in compliance with regulations and industry standards
• Lead and manage the Compliance team effectively
• Provide detailed Compliance reports to governance committees
• Design and execute the annual Compliance Plan
• Stay updated on emerging regulations and ensure timely implementation
• Collaborate with the wider Risk function for cohesive risk management
• Contribute to first-line projects and squads to maintain compliance

Essential Skills & Experience:

• In-depth understanding and practical knowledge of FCA rules impacting wealth and asset management - platform experience would be highly desirable
• Proficiency in legislation such as FSMA and MiFID II
• Experience in asset management, especially in the retail market
• Strong attention to detail with a broad business understanding
• Professional qualifications in Compliance are advantageous
• Proven experience as a Head of Compliance or similar role, including team management

Please note that you will be required to work in their offices 3 days per week. This role is paying six figures and is there is a highly competitive bonus.

If you possess the necessary skills and experience for this pivotal role, we invite you to submit your CV for consideration. Or alternatively, for more information, please contact Raj on r.basra @ (url removed) / (phone number removed)

Company Description
AbbVie's mission is to discover and deliver innovative medicines and solutions that solve serious health issues today and address the medical challenges of tomorrow. We strive to have a remarkable impact on people's lives across several key therapeutic areas - immunology, oncology, neuroscience, and eye care - and products and services in our Allergan Aesthetics portfolio. For more information about AbbVie, please visit us at Follow @abbvie on X, Facebook, Instagram, YouTube, LinkedIn and Tik Tok ( .
Job Description
+ Reporting to Director for International Compliance, Allergan Aesthetics
+ Leadership role, with a direct team of 5 people
+ Excellent opportunities for career growth and development
Job Objective
The Area Director of the Office of Ethics and Compliance is responsible for the co-ordination and leadership of the ethics & compliance programs for all the Affiliates in Europe & Canada. The role is based preferably in UK or any European Affiliate within the region of responsibility for the role.
Key Responsibilities
+ Direct supervisory responsibility for the team, comprising of Regional Leads, Senior Managers, Managers, and Analysts. A key component of the role is to coach, develop, supervise and co-ordinate the activities of team members, ensuring they have appropriate support in terms of technical knowledge, competencies, and resources to enable the execution of AA Program
+ Serves as the OEC leader within the Region and supports the Area Vice President and International Compliance Director to accomplish key activities and tactical compliance program execution within their designated Area
+ Lead and manage a effective Area Compliance Insights Forum (ACIF) for Europe and Canada with engagement from Area Leadership Teams and Country Leaders, as and when applicable
+ Provide leadership, guidance and support to all levels of the E&C organization on complex ethics and compliance issues, including policy interpretation and requirements, compliance risk assessment, trend analysis and best practice recommendations
+ Serve on the International OEC leadership team, helping to set compliance policy, strategy, and direction to be applied internationally
+ Works with his/her team to ensure all Affiliates have an effective compliance program including all the Seven Elements of An Effective Compliance Program, and fully operational Affiliate Compliance Insights Forum (ACIF)
+ Through working with their OEC team, Affiliate General Managers, and other members of senior leadership, he/she will help establish a culture of compliance at the Area, Region and Affiliate, with the right "tone from the top" (e.g., the AVP and GM) and "tone at the middle" (e.g., Directors and Managers) regarding the importance of operating in a compliant manner with high ethical standards
+ Work with their team to partner with the Business (e.g. GM, Commercial, Finance, Medical, Legal, HR, Regulatory, Public Affairs) to proactively help the business meet its goals and objectives in a compliant manner. The position should identify basic Legal, Medical, Regulatory Affairs, HR or other relevant issues, refer matters to respective departments, analyze alternatives and propose solutions to the business. Will work closely with Legal on matters having both Compliance and Legal implications. Exhibits good judgment in matters that may need to be referred to other functions or to OEC Management
+ Maintain knowledge of all industry codes within the Area, and in cooperation with Legal, of all applicable laws and regulations, and monitor key developments that would impact the compliance
+ Working with their team and business partners to develop, implement, coordinate, and deliver awareness, education, policies and procedures trainings, and other necessary training programs that focus on the elements of the Affiliate's Compliance Program, and are also tailored to positions and associated responsibilities
+ Guide their team to structure, implement and supervise the Affiliate monitoring plan to ensure compliance with policies and procedures and to identify policy and procedure improvements that can create business process efficiencies. Follow up on monitoring results, analyze trends, analyze root cause, contribute to remediation plans, and help update country/region compliance program accordingly
+ Partner with their team, Affiliate and Auditors on compliance audits, while maintaining full objectivity and independence from either
+ Where relevant, actively participate in local industry trade association compliance (or related) committees, helping drive appropriate decision-making on key issues. When applicable, identify external environment changes and trends, communicate changes to Area Compliance Lead and work with their team to implement necessary changes to the Affiliate Compliance Program(s)
+ Participate and Lead key International OEC projects (individual and team projects)
Qualifications
+ Bachelor's degree required or equivalent work experience from Finance, Audit, Commercial, Legal, Science or Regulatory strongly preferred
+ Professional experience in Compliance, and exposure to functions such as Legal, Regulatory, Finance or Medical Affairs
+ Strong leadership, analytical, communication, project management and problem-solving skills
+ Knowledge of EFPIA, U.K. ABPI, PMPCA and OUS compliance laws and regulations, and experience in health care industry, strongly preferred
+ Pharmaceutical and Global industry experience preferred
Skills & Abilities
+ Business Acumen: Possesses a deep understanding of the business and environment
+ Action through Insight: Has a learning mindset, digs deep for insights to guide actions and routinely measures to determine impact. Works to enhance consistency within the Region and within the OEC Area and International, and helps inform Global guidance where applicabl
+ Strategic Thinking: Enables and coaches the team to set a clear direction, prioritize effectively and make informed choices that drive impact. Provides strategic insights and consistent guidance to help the team balance strategic thinking with tactical execution of the Compliance program
+ Integration and Influence: Can influence decisions and coach to guide and empower the decision-making of the team and the business leaders on compliance topics as part of fully integrated cross-functional team members operating at Local, Regional, Area and Global levels within the organization
+ Process Control: Can effectively and continuously review, from a regional perspective, key elements of the local and international compliance program to monitor its correct implementation and to timely identify any potential issues. Can work with the team to ensure more effective local implementation using insights gained at Regional, Area or Global level
+ Expert Judgement: Acts wisely under pressure and is self-assured in representing the team, function or organization. Has the ability to deal with ambiguity and manage grey zones, and coach the team to be able to do the same
+ Impactful Implementation: Proactively plans, executes and socializes work to drive superior results. Can structure workload and is able to manage multiple priorities in short deadlines, and coach the team to be able to do the same
+ Communication: Strong verbal and written communication, including fluent command of English
Additional Information
AbbVie is an equal opportunity employer and is committed to operating with integrity, driving innovation, transforming lives and serving our community.  Equal Opportunity Employer/Veterans/Disabled.
US & Puerto Rico only - to learn more, visit & Puerto Rico applicants seeking a reasonable accommodation, click here to learn more:

**Our Purpose**
_Mastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we're helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships and networks combine to deliver a unique set of products and services that help people, businesses and governments realize their greatest potential._
**Title and Summary**
Director, Legal Compliance
This role is open to candidates looking to conduct the role from either our London , Peterborough or Lisbon offices .
The Mastercard Prepaid Management Services (MPMS) Compliance Team is responsible for ensuring the MPMS business adheres to all regulatory requirements, including Anti-Money Laundering (AML) policies and legislation.
The Director, Legal Compliance, reports to the VP Compliance, Risk & Fraud and provides direction and support for the implementation and oversight of the business compliance program, including AML, Sanctions, Treating Customers Fairly and Foreign Account Tax Compliance Act (FATCA) globally.
Key Accountabilities
-Deputize for the VP Global Compliance, as required.
-Manage a team of Analysts within EMEAA region.
-Produce, implement and maintain compliance risk assessments, policies and procedures for the following, to ensure they align with relevant legislation, industry guidance and (where applicable) issuer requirements:
o Anti-Money Laundering (AML)
o Customer Due Diligence (CDD) / oversight and review of customer on-boarding processes
o Treating Customers Fairly (TCF)
o Identity theft
o Vulnerable customers
o Politically Exposed Persons (PEP) and Sanctions screening
o Distributor / agent oversight
o Program risk assessments
o Risk control matrix (Harvey Ball risk assessments).
-Understand issuer compliance and AML requirements and develop appropriate program frameworks, to include the identification of system development requirements, operational process changes and resource requirements.
-Manage ongoing compliance relationships with issuers, to include new product initiatives, AML monitoring, Subject Access Request (SAR) reporting, TCF policy review, monthly service calls and other such requests.
-Manage, maintain and develop AML monitoring programs, in line with relevant regulations, industry guidance and issuer requirements, to include the submission of compulsory transaction reports (where required) and suspicious activity reports.
-Ensure continuous oversight of AML transaction monitoring and PEP & Sanctions screening systems, including configuration and ongoing testing.
-Manage and overview Sanction screening programs for cardholders, in line with relevant regulations, industry guidance and issuer requirements.
-Overview Sanction screening for distributors and corporates in all regions, in line with relevant regulations, industry guidance and issuer requirements.
-Review and assess new business projects and the design of compliance controls, to ensure adherence to company policy and procedures, and deliver appropriate solutions, so that robust and appropriate compliance controls are implemented to satisfy regulatory and issuer needs.
-Sign-off new market / product launches (as applicable).
-Represent MPMS Compliance, in respect of technical change and delivery at PI Planning events.
-Review and sign off collaterals and marketing material (including financial promotions), in line with industry guidance and issuer requirements.
-Manage and overview appropriate training to relevant staff, in line with regulatory and issuer requirements covering:
o AML and Counter-Terrorism Financing (CTF)
o Anti-Bribery & Corruption
o TCF
-Review and update training material, track training completion and escalate non-completion.
-Continually review departmental processes, procedures and systems, to ensure the most efficient use of resources and the elimination of unnecessary cost.
-Support internal business owners and stakeholders in process improvements related to KYC and compliance requirements.
-Act as escalation point for compliance queries from other business areas.
-Provide regular reporting and MI to VP Global Compliance and escalate issues, as appropriate.
-Manage internal and issuer audits and external independent reviews, to include the provision of documentation (as per agreed scope), responding to queries and implementing improvements.
-Assist with maintaining:
o HMRC Money Service Business (MSB) registration
-Remain up-to-date with industry and regulatory developments, maintain a close relationship with the Global Compliance Team, Regional Compliance Working Groups, MPMS Legal and issuers, and proactively scan the regulatory landscape to ensure an effective and timely response to regulatory changes.
-Assess the impact of regulatory changes and industry guidance on existing AML/CTF, Sanctions, anti-bribery and TCF policies and procedures, and design controls to ensure necessary changes are implemented within MPMS Compliance and across other business areas (as appropriate).
-Maintain necessary records, in compliance with applicable regulations and issuer requirements, thereby ensuring complete and accurate data is readily available to internal and external parties.
Core Skills
-Significant experience in a Senior Compliance role, within Financial Services.
-ACAMS/ICA Certified.
-Educated to Bachelor's Degree level (minimum)
-Subject matter expert in AML regulations, including Sanctions in all regions of operation
-Able to interpret regulations and guidance, in order to assess impact and develop practical operational procedures, to ensure ongoing compliance.
-Able to deal with sensitive and confidential information.
-Strong communication skills (verbal & written) with the ability to engage key stakeholders at all levels.
-Able to build internal and external relationships.
-Analytical and detail focused, with the ability to identify anomalies, trends and make necessary recommendations.
-Able to manage and prioritize multiple tasks to completion and on time.
-Knowledge and understanding of prepaid card / electronic money products.
**Corporate Security Responsibility**
All activities involving access to Mastercard assets, information, and networks comes with an inherent risk to the organization and, therefore, it is expected that every person working for, or on behalf of, Mastercard is responsible for information security and must:
+ Abide by Mastercard's security policies and practices;
+ Ensure the confidentiality and integrity of the information being accessed;
+ Report any suspected information security violation or breach, and
+ Complete all periodic mandatory security trainings in accordance with Mastercard's guidelines.

Optum is a global organization that delivers care, aided by technology to help millions of people live healthier lives. The work you do with our team will directly improve health outcomes by connecting people with the care, pharmacy benefits, data and resources they need to feel their best. Here, you will find a culture guided by diversity and inclusion, talented peers, comprehensive benefits and career development opportunities. Come make an impact on the communities we serve as you help us advance health equity on a global scale. Join us to start **Caring. Connecting. Growing together.**
At UnitedHealth Group and Optum, we want to make healthcare work better for everyone. This depends on hiring the best and brightest. With a thriving ecosystem of investment and innovation, our business in Ireland is constantly growing to support the healthcare needs of the future.
Our teams are at the forefront of building and adapting the latest technologies to propel healthcare forward in a way that better serves everyone. With our hands at work across all aspects of health, we use the most advanced development tools, AI, data science and innovative approaches to make the healthcare system work better for everyone.
The Optum compliance team is seeking a strategic and experienced Senior Director of Compliance to lead and evolve the compliance function for our Commercial International businesses located in the UK and Ireland. This role is accountable for the design, implementation and execution of the compliance program within these businesses, and will serve as a trusted advisor to executive leadership and a key partner in supporting implementation of strategic business initiatives that are aligned with applicable laws, regulations, and company standards. This position reports to the Optum Insight Chief Compliance Officer and will partner closely with other Optum and compliance leaders throughout the organization.
**Primary Responsibilities**
+ Provide strategic compliance leadership and guidance to commercial international executive leadership and business teams
+ Partner with business and compliance leadership to foster a top-down culture of ethics and compliance and to ensure compliance with evolving laws, regulations, and contractual obligations
+ Oversee the commercial international compliance team and collaborate with Optum and enterprise compliance teams to ensure an effective compliance program with respect to supported businesses
+ Develop, implement and update as needed jurisdiction and business-specific policies, procedures and standards to promote compliance with applicable laws, regulations and organizational standards
+ Support the development and implementation of relevant organizational compliance, ethics, and privacy training and awareness programs
+ Conduct routine monitoring and annual compliance risk assessments and develop appropriate remediation strategies related to output
+ Support investigation of reported or suspected incidents of non-compliance and ensure appropriate remediation and consistent disciplinary guidelines are enforced for confirmed incidents of non-compliance
+ Preparing strategic compliance reporting for business unit governing boards, compliance and other leadership committees and executive leadership
+ Influence and collaborate within a matrixed environment, working closely with enterprise legal and compliance partners and with relevant business partners across the enterprise
_You will be rewarded and_ _recognised_ _for your performance in an environment that will challenge you and give you clear direction on what it takes to succeed in your role, as well as providing development for other roles you may be interested in._
**Required Qualifications:**
+ Bachelor's degree (or higher)
+ Significant relevant compliance and regulatory experience within the healthcare industry
+ Knowledge of the UK/Ireland regulatory environment, including public services procurement and medical device regulations
+ Demonstrated experience managing compliance in multinational or cross-jurisdictional environments
+ Proven experience working with senior executives and influencing across complex, matrixed organizations
**Soft Skills:**
+ Communication, strategic decision-making, and analytical skills
+ Leadership skills with demonstrated ability in managing and developing others
+ Strategic decision-making, analytic, influence and communication (written and verbal) skills
**Please note you must currently be eligible to work and remain indefinitely without any restrictions in the country to which you are making an application. Proof will be required to support your application.**
_All telecommuters will be required to adhere to the UnitedHealth Group's Telecommuter Policy._
_At UnitedHealth Group, our mission is to help people live healthier lives and make the health system work better for everyone. We believe everyone-of every race, gender, sexuality, age, location and income-deserves the opportunity to live their healthiest life. Today, however, there are still far too many barriers to good health which are disproportionately experienced by people of color, historically marginalised groups and those with lower incomes. We are committed to mitigating our impact on the environment and enabling and delivering equitable care that addresses health disparities and improves health outcomes - an enterprise priority reflected in our mission._
_Diversity creates a healthier atmosphere: UnitedHealth Group is an Equal Employment Opportunity employer and all qualified applicants will receive consideration for employment without regard to disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, sexual orientation, or any other characteristic protected by law. UnitedHealth Group is a drug-free workplace. © 2023 UnitedHealth Group. All rights reserved._
#RPO

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



Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the worldu2019s leading financial groups. Across the globe, weu2019re 120,000 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 worldu2019s most trusted financial group, itu2019s 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.



**MAIN PURPOSE OF THE ROLE**



This is a high visibility role that will be responsible for establishing the EMEA regions operational efficiency in US regulatory compliance and reporting, including CFTC/NFA and SEC Swap Dealer (collectively u201cUS regulatory tasksu201d framework) including but not limited to compiling the required reporting to the US authorities). The role will have direct exposure to all levels of the business and will be the primary contact for the US regulation advisory and related tasks management.



u200b **NUMBER OF DIRECT REPORTS**



One



**KEY RESPONSIBILITIES**



The role will be acting across MUFGu2019s banking arm and securities business under a dual-hat arrangement. Under this arrangement you will be the SME of US regulatory requirements. To develp efficient work flow and operation model US Reg compliance for both the bank and the securities business, subject to the same remit and level of authority, irrespective of the entity which employs you.



Job responsibilities:



To develop a more mature and efficient US regulatory related tasksu2019 framework and workflow.


Carry out the day to day management of US related regulatory tasks
Provide support and delegation to the Head of Advisory as necessary
Assist in the development of the US Regulation Compliance framework across all relevant business lines operating in EMEA. This includes uplift of CFTC/NFA and SEC programmes and monitoring of adherence to programme by impacted departments.
Provide proactive advice, guidance and challenge to the businesses in regulatory compliance matters with a particular focus on US regulatory related matters (including but not limited to identification of risk, escalation and management).
Work closely with the Regulatory Change Team (who lead on providing advice and guidance on regulatory developments which are in the upstream/implementation phase) for example in drafting and updating policies, procedures and developing and delivering training.
Provide training to the front office on regulatory and conduct matters with a particular focus on US regulation including for Swap Associated Persons .
Represent Advisory Compliance at the Swap Dealer Oversight Committee
Draft the annual CFTC/NFA and SEC Compliance reports and conduct lookback exercise.
Compliance Lead on CFA//NFA audits



**WORK EXPERIENCE**



Essential:


Extensive compliance experience within a Advisory/ Legal function, specialising US regulatory compliance.
Extensive experience in Market Side Compliance Advisory role in an investment banking organisation



**SKILLS AND EXPERIENCE**



**Functional / Technical Competencies:**



Essential


Strong understanding and knowledge of Market Compliance and other investment banking products, including but not limited to loans, bonds and structured finance, and particular strong experience in Sales and Trading.
In depth knowledge of MAR and MiFID II, and US regulatory compliance
Strong knowledge of risk, compliance and controls
Strong understanding of key regulations applicable to markets products, including MiFID II, MAR and US reg
Strong interpersonal and communication skills
Sharp intellect with the ability to grasp complex concepts
Ability to challenge independently and constructively, where appropriate in order to achieve engagement and drive resolution
Ability to act autonomously when appropriate and know when to escalate matters
Highly organised, goal oriented and solutions focused



**Education / Qualifications:**



Essential


Strong educational background with a university degree preferably in Law and/or Financial Regulation
US regulatory Compliance experience a 5t least years (or more) in investment banking



**PERSONAL REQUIREMENTS**


Excellent communication skills
A proactive, motivated approach.
The ability to operate with urgency and prioritise work accordingly
Strong decision making skills, the ability to demonstrate sound judgement
A structured and logical approach to work
Excellent interpersonal skills valueing team work
The ability to manage large workloads and tight deadlines
Excellent attention to detail and accuracy
A calm approach, with the ability to perform well in a pressurised environment
Sharp intellect with excellent researching skill necessary for the US regulatory related tasks
Conscious of confidentiality involved in the nature of business and regulatory compliance related tasks
Ability to work/ collaborate with variety of stakeholders of all related regions and Head Office



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.



At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!



**Our Culture Principles**


Client Centric
People Focused
Listen Up. Speak Up.
Innovate & Simplify
Own & Execute

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



Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the worldu2019s leading financial groups. Across the globe, weu2019re 120,000 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 worldu2019s most trusted financial group, itu2019s 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.



**MAIN PURPOSE OF THE ROLE**



This is a high visibility role that will be responsible for establishing the EMEA regions operational efficiency in US regulatory compliance and reporting, including CFTC/NFA and SEC Swap Dealer (collectively u201cUS regulatory tasksu201d framework) including but not limited to compiling the required reporting to the US authorities). The role will have direct exposure to all levels of the business and will be the primary contact for the US regulation advisory and related tasks management.



u200b **NUMBER OF DIRECT REPORTS**



One



**KEY RESPONSIBILITIES**



The role will be acting across MUFGu2019s banking arm and securities business under a dual-hat arrangement. Under this arrangement you will be the SME of US regulatory requirements. To develp efficient work flow and operation model US Reg compliance for both the bank and the securities business, subject to the same remit and level of authority, irrespective of the entity which employs you.



Job responsibilities:



To develop a more mature and efficient US regulatory related tasksu2019 framework and workflow.


Carry out the day to day management of US related regulatory tasks
Provide support and delegation to the Head of Advisory as necessary
Assist in the development of the US Regulation Compliance framework across all relevant business lines operating in EMEA. This includes uplift of CFTC/NFA and SEC programmes and monitoring of adherence to programme by impacted departments.
Provide proactive advice, guidance and challenge to the businesses in regulatory compliance matters with a particular focus on US regulatory related matters (including but not limited to identification of risk, escalation and management).
Work closely with the Regulatory Change Team (who lead on providing advice and guidance on regulatory developments which are in the upstream/implementation phase) for example in drafting and updating policies, procedures and developing and delivering training.
Provide training to the front office on regulatory and conduct matters with a particular focus on US regulation including for Swap Associated Persons .
Represent Advisory Compliance at the Swap Dealer Oversight Committee
Draft the annual CFTC/NFA and SEC Compliance reports and conduct lookback exercise.
Compliance Lead on CFA//NFA audits



**WORK EXPERIENCE**



Essential:


Extensive compliance experience within a Advisory/ Legal function, specialising US regulatory compliance.
Extensive experience in Market Side Compliance Advisory role in an investment banking organisation



**SKILLS AND EXPERIENCE**



**Functional / Technical Competencies:**



Essential


Strong understanding and knowledge of Market Compliance and other investment banking products, including but not limited to loans, bonds and structured finance, and particular strong experience in Sales and Trading.
In depth knowledge of MAR and MiFID II, and US regulatory compliance
Strong knowledge of risk, compliance and controls
Strong understanding of key regulations applicable to markets products, including MiFID II, MAR and US reg
Strong interpersonal and communication skills
Sharp intellect with the ability to grasp complex concepts
Ability to challenge independently and constructively, where appropriate in order to achieve engagement and drive resolution
Ability to act autonomously when appropriate and know when to escalate matters
Highly organised, goal oriented and solutions focused



**Education / Qualifications:**



Essential


Strong educational background with a university degree preferably in Law and/or Financial Regulation
US regulatory Compliance experience a 5t least years (or more) in investment banking



**PERSONAL REQUIREMENTS**


Excellent communication skills
A proactive, motivated approach.
The ability to operate with urgency and prioritise work accordingly
Strong decision making skills, the ability to demonstrate sound judgement
A structured and logical approach to work
Excellent interpersonal skills valueing team work
The ability to manage large workloads and tight deadlines
Excellent attention to detail and accuracy
A calm approach, with the ability to perform well in a pressurised environment
Sharp intellect with excellent researching skill necessary for the US regulatory related tasks
Conscious of confidentiality involved in the nature of business and regulatory compliance related tasks
Ability to work/ collaborate with variety of stakeholders of all related regions and Head Office



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.



At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!



**Our Culture Principles**


Client Centric
People Focused
Listen Up. Speak Up.
Innovate & Simplify
Own & Execute

**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 120,000 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.
**MAIN PURPOSE OF THE ROLE**
This is a high visibility role that will be responsible for establishing the EMEA regions operational efficiency in US regulatory compliance and reporting, including CFTC/NFA and SEC Swap Dealer (collectively "US regulatory tasks" framework) including but not limited to compiling the required reporting to the US authorities). The role will have direct exposure to all levels of the business and will be the primary contact for the US regulation advisory and related tasks management.
**NUMBER OF DIRECT REPORTS**
One
**KEY RESPONSIBILITIES**
The role will be acting across MUFG's banking arm and securities business under a dual-hat arrangement. Under this arrangement you will be the SME of US regulatory requirements. To develp efficient work flow and operation model US Reg compliance for both the bank and the securities business, subject to the same remit and level of authority, irrespective of the entity which employs you.
Job responsibilities:
To develop a more mature and efficient US regulatory related tasks' framework and workflow.
+ Carry out the day to day management of US related regulatory tasks
+ Provide support and delegation to the Head of Advisory as necessary
+ Assist in the development of the US Regulation Compliance framework across all relevant business lines operating in EMEA. This includes uplift of CFTC/NFA and SEC programmes and monitoring of adherence to programme by impacted departments.
+ Provide proactive advice, guidance and challenge to the businesses in regulatory compliance matters with a particular focus on US regulatory related matters (including but not limited to identification of risk, escalation and management).
+ Work closely with the Regulatory Change Team (who lead on providing advice and guidance on regulatory developments which are in the upstream/implementation phase) for example in drafting and updating policies, procedures and developing and delivering training.
+ Provide training to the front office on regulatory and conduct matters with a particular focus on US regulation including for Swap Associated Persons .
+ Represent Advisory Compliance at the Swap Dealer Oversight Committee
+ Draft the annual CFTC/NFA and SEC Compliance reports and conduct lookback exercise.
+ Compliance Lead on CFA//NFA audits
**WORK EXPERIENCE**
Essential:
+ Extensive compliance experience within a Advisory/ Legal function, specialising US regulatory compliance.
+ Extensive experience in Market Side Compliance Advisory role in an investment banking organisation
**SKILLS AND EXPERIENCE**
**Functional / Technical Competencies:**
Essential
+ Strong understanding and knowledge of Market Compliance and other investment banking products, including but not limited to loans, bonds and structured finance, and particular strong experience in Sales and Trading.
+ In depth knowledge of MAR and MiFID II, and US regulatory compliance
+ Strong knowledge of risk, compliance and controls
+ Strong understanding of key regulations applicable to markets products, including MiFID II, MAR and US reg
+ Strong interpersonal and communication skills
+ Sharp intellect with the ability to grasp complex concepts
+ Ability to challenge independently and constructively, where appropriate in order to achieve engagement and drive resolution
+ Ability to act autonomously when appropriate and know when to escalate matters
+ Highly organised, goal oriented and solutions focused
**Education / Qualifications:**
Essential
+ Strong educational background with a university degree preferably in Law and/or Financial Regulation
+ US regulatory Compliance experience a 5t least years (or more) in investment banking
**PERSONAL REQUIREMENTS**
+ Excellent communication skills
+ A proactive, motivated approach.
+ The ability to operate with urgency and prioritise work accordingly
+ Strong decision making skills, the ability to demonstrate sound judgement
+ A structured and logical approach to work
+ Excellent interpersonal skills valueing team work
+ The ability to manage large workloads and tight deadlines
+ Excellent attention to detail and accuracy
+ A calm approach, with the ability to perform well in a pressurised environment
+ Sharp intellect with excellent researching skill necessary for the US regulatory related tasks
+ Conscious of confidentiality involved in the nature of business and regulatory compliance related tasks
+ Ability to work/ collaborate with variety of stakeholders of all related regions and Head Office
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.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute

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.OVERVIEWMUFG is seeking an experienced Compliance professional to manage the EMEA Regulatory Compliance Processes function within Core Compliance to ensure that regulatory returns and filings are made in a well-controlled and demonstrable manner, and that business lines and control functions are provided with timely and accurate advice and management information in relation to regulatory processes. In this role you will: Manage the EMEA Regulatory Processes Teams responsible for 1) Co-ordinating Compliance Risk Identification and Assessment; 2) Policy Development and Compliance Training; 3) Individual Licensing and Registrations and 4) Compliance Reporting in support of the Markets and Banking Businesses and Enterprise Functions operating in region.Key activities you will oversee are:• Production of Management Information• Coordination of the annual Compliance Risk Assessment• Regulatory Breach Management• Compliance Policy framework development and maintenance • Compliance Training framework development and maintenance• Regulatory Filings • Individual Regulatory Licensing Regimes:o UK Senior Manager and Certification Regime administrationo US SEC (SBSD)/CFTC (SD) Swap Associated Persons Designation administrationo US SEC 15a6 approval administration • Annual Fitness and Propriety Assessment Processes for Senior Managers, Certified Persons and Conduct Staff • Management of the firm’s offshore regulatory licenses and management of waivers• Maintenance of regulatory waivers and exemptionsNUMBER OF DIRECT REPORTSTo be determined.MAIN PURPOSE OF THE ROLE The main purpose of the role is to:Lead the Regulatory Compliance Processes Team.Help to ensure that a strong governance culture is embedded within the region, that issues are escalated and cascaded appropriately and that key risks are identified, discussed and mitigated.Ensure appropriate documentation and clear reporting of Core Compliance risks and controls.Propose and implement actions to achieve continuous improvement in processes within the Team’s remit. KEY RESPONSIBILITIESManaging staff within the EMEA Regulatory Compliance Processes Team. Minimizing attrition and seeking to deepen the skills base of the Team and to raise their profile.Leading the Team to achieve annual objectivesDeveloping a culture of talent development and high performance within the Team.Overseeing the Team’s involvement in Business/Second Line led projects and periodic exercises, including the RCSA, ensuring timely and robust input and challenge by team members.Contributing to the effective governance of the region. Paying an active role in regional committees where appropriate. Where you are the chair of a committee, ensuring the committee is effective; facilitating and encouraging informed and constructive debate on key issues and ensuring that members receive relevant information in an accurate, timely and clear form.Promoting a good understanding of the EMEA governance framework, including escalation requirements and ensuring that there is clear, appropriate and well evidenced allocation of responsibilities amongst Team members.Providing Compliance support to Business and Corporate projects, including those relating to regional governance.Working with others, helping to manage MUFG’s relationship with relevant Regulators, including through the provision of timely and accurate information to the Regulators.Representing Core Compliance and providing appropriate guidance and/or challenge at relevant internal meetings. Identifying and recommending opportunities for process improvement and risk control development.Collaborating effectively with Global, International and Regional Compliance teams who will provide SME advisory input into annual compliance risk assessment, policy and training; reporting and annual compliance planning.Contributing to enterprise-wide risk and control related initiatives.Making decisions and resolving issues to help meet Business objectives.Interpreting policies, procedures and compliance requirements. Assisting Senior Management in the management of any relevant internal audits and regulatory examinations.This list of responsibilities is expected to change over time as the Regulatory Compliance Processes Team evolves.SKILLS AND EXPERIENCERequirements:Postgraduate degree with further professional qualification an advantage.10+ years’ experience in Compliance at leading international financial services institution(s).Strong people management experience.Extensive experience designing and executing core compliance programmes, including business line relevant regulatory risk identification and assessment processes, compliance issue management, breach handling, compliance reporting, regulatory licensing and registrations, compliance policy development and training.Clear understanding of the market and regulatory environment in which MUFG operates, including relevant sectors, countries, products and clients.Deep understanding of ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices. Familiarity with Individual Accountability Regimes and regulatory rules and expectations in relation to Conduct.Proven ability to identify inefficiencies and improve processes.Prior experience in a task oriented team working to multiple deadlines.Proficient in Excel, Word and PowerPoint.PERSONAL REQUIREMENTSExcellent communication and interpersonal skillsResults driven, with a strong sense of accountabilityStrong attention to detail.A proactive, motivated approachThe ability to operate with urgency and prioritise work accordinglyStrong decision making skills, the ability to demonstrate sound judgementA structured and logical approach to workStrong problem solving skillsA calm approach, with the ability to perform well in a pressurised environmentStrong team player, willing to work in a collaborative, constructive and proactive manner with colleagues.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.

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



Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the worldu2019s leading financial groups. Across the globe, weu2019re 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 worldu2019s most trusted financial group, itu2019s 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.



**OVERVIEW**



MUFG is seeking an experienced Compliance professional to manage the EMEA Regulatory Compliance Processes function within Core Compliance to ensure that regulatory returns and filings are made in a well-controlled and demonstrable manner, and that business lines and control functions are provided with timely and accurate advice and management information in relation to regulatory processes.



In this role you will:



Manage the EMEA Regulatory Processes Teams responsible for 1) Co-ordinating Compliance Risk Identification and Assessment; 2) Policy Development and Compliance Training; 3) Individual Licensing and Registrations and 4) Compliance Reporting in support of the Markets and Banking Businesses and Enterprise Functions operating in region.



Key activities you will oversee are:



Production of Management Information



Coordination of the annual Compliance Risk Assessment



Regulatory Breach Management



Compliance Policy framework development and maintenance



Compliance Training framework development and maintenance



Regulatory Filings



Individual Regulatory Licensing Regimes:


o UK Senior Manager and Certification Regime administration
o US SEC (SBSD)/CFTC (SD) Swap Associated Persons Designation administration
o US SEC 15a6 approval administration



Annual Fitness and Propriety Assessment Processes for Senior Managers, Certified Persons and Conduct Staff



Management of the firmu2019s offshore regulatory licenses and management of waivers



Maintenance of regulatory waivers and exemptions



**NUMBER OF DIRECT REPORTS**



To be determined.



**MAIN PURPOSE OF THE ROLE**



The main purpose of the role is to:


Lead the Regulatory Compliance Processes Team.


Help to ensure that a strong governance culture is embedded within the region, that issues are escalated and cascaded appropriately and that key risks are identified, discussed and mitigated.


Ensure appropriate documentation and clear reporting of Core Compliance risks and controls.


Propose and implement actions to achieve continuous improvement in processes within the Teamu2019s remit.



**KEY RESPONSIBILITIES**


Managing staff within the EMEA Regulatory Compliance Processes Team. Minimizing attrition and seeking to deepen the skills base of the Team and to raise their profile.


Leading the Team to achieve annual objectives


Developing a culture of talent development and high performance within the Team.


Overseeing the Teamu2019s involvement in Business/Second Line led projects and periodic exercises, including the RCSA, ensuring timely and robust input and challenge by team members.


Contributing to the effective governance of the region. Paying an active role in regional committees where appropriate. Where you are the chair of a committee, ensuring the committee is effective; facilitating and encouraging informed and constructive debate on key issues and ensuring that members receive relevant information in an accurate, timely and clear form.


Promoting a good understanding of the EMEA governance framework, including escalation requirements and ensuring that there is clear, appropriate and well evidenced allocation of responsibilities amongst Team members.


Providing Compliance support to Business and Corporate projects, including those relating to regional governance.


Working with others, helping to manage MUFGu2019s relationship with relevant Regulators, including through the provision of timely and accurate information to the Regulators.


Representing Core Compliance and providing appropriate guidance and/or challenge at relevant internal meetings.


Identifying and recommending opportunities for process improvement and risk control development.


Collaborating effectively with Global, International and Regional Compliance teams who will provide SME advisory input into annual compliance risk assessment, policy and training; reporting and annual compliance planning.


Contributing to enterprise-wide risk and control related initiatives.


Making decisions and resolving issues to help meet Business objectives.


Interpreting policies, procedures and compliance requirements.


Assisting Senior Management in the management of any relevant internal audits and regulatory examinations.



This list of responsibilities is expected to change over time as the Regulatory Compliance Processes Team evolves.



**SKILLS AND EXPERIENCE**



**Requirements:**


Postgraduate degree with further professional qualification an advantage.


10+ yearsu2019 experience in Compliance at leading international financial services institution(s).


Strong people management experience.


Extensive experience designing and executing core compliance programmes, including business line relevant regulatory risk identification and assessment processes, compliance issue management, breach handling, compliance reporting, regulatory licensing and registrations, compliance policy development and training.


Clear understanding of the market and regulatory environment in which MUFG operates, including relevant sectors, countries, products and clients.


Deep understanding of ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices.


Familiarity with Individual Accountability Regimes and regulatory rules and expectations in relation to Conduct.


Proven ability to identify inefficiencies and improve processes.


Prior experience in a task oriented team working to multiple deadlines.


Proficient in Excel, Word and PowerPoint.



**PERSONAL REQUIREMENTS**


Excellent communication and interpersonal skills
Results driven, with a strong sense of accountability
Strong attention to detail.
A proactive, motivated approach
The ability to operate with urgency and prioritise work accordingly
Strong decision making skills, the ability to demonstrate sound judgement
A structured and logical approach to work
Strong problem solving skills
A calm approach, with the ability to perform well in a pressurised environment
Strong team player, willing to work in a collaborative, constructive and proactive manner with colleagues.



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.



At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!



**Our Culture Principles**


Client Centric
People Focused
Listen Up. Speak Up.
Innovate & Simplify
Own & Execute