395 Senior Vice President jobs in the United Kingdom
Vice President,Structurer
Posted today
Job Viewed
Job Description
Vice President,Structurer
Posted 7 days ago
Job Viewed
Job Description
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.
**OVERVIEW OF THE DEPARTMENT/SECTION**
MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.
As one of the top financial groups globally with a vision to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
MUFGu2019s shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The groupu2019s operating companies include, but are not limited to, MUFG Bank, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.
**Structured Trading Group (STG)** is the main hub for Structured Products at MUFG. The desk is responsible for the structuring, trading and management of Structured Derivatives in Interest Rates, FX and Hybrid products. STG services the clients of MUFG and its affiliates by leveraging their best in class infrastructure, product expertise and sophisticated risk management capabilities to deliver bespoked products and solutions consistently across the regions.
**MAIN PURPOSE OF THE ROLE**
Main structurer in the STG department with the objectives of Franchise Development through dedicated client service in pricing, structuring and idea generation that enhance values. Manage risks associated with the business. Work in partnership with sales, trading and cross departmental partners to deliver a sustainable, client focused business.
**KEY RESPONSIBILITIES**
responsible for working in partnership with broader GM, GCIB and JCIB teams to develop the business globally
responsible for pricing, trading with clients and managing risks for structured products
responsible for delivering and growing a sustainable, client-focussed, solution-oriented business
responsible for maximising profitability from leveraging and enhancing the Groupu2019s customer franchise.
responsible for working in partnership with Sales, Trading and Research in MUS International to deliver products that meet the needs of our clients.
Responsible for working in partnership with other parts of the Group to deliver franchise and business growth
**WORK EXPERIENCE**
Essential:
At least 4 years of working experience at major financial institutions
Experience in structuring and pricing of complex derivatives
Preferred:
Risk management experience of non-linear trading books
**SKILLS AND EXPERIENCE**
**Functional / Technical Competencies:**
Essential
Knowledge of financial market and instruments including derivatives
Good communicator
Strong numerical skill
Proficient Microsoft Excel skills
Diligent and disciplined in risk management
Preferred:
Ability to code
**Education / Qualifications:**
Essential
University Degree or equivalent
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
Vice President,Structurer
Posted 7 days ago
Job Viewed
Job Description
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.
**OVERVIEW OF THE DEPARTMENT/SECTION**
MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.
As one of the top financial groups globally with a vision to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
MUFGu2019s shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The groupu2019s operating companies include, but are not limited to, MUFG Bank, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.
**Structured Trading Group (STG)** is the main hub for Structured Products at MUFG. The desk is responsible for the structuring, trading and management of Structured Derivatives in Interest Rates, FX and Hybrid products. STG services the clients of MUFG and its affiliates by leveraging their best in class infrastructure, product expertise and sophisticated risk management capabilities to deliver bespoked products and solutions consistently across the regions.
**MAIN PURPOSE OF THE ROLE**
Main structurer in the STG department with the objectives of Franchise Development through dedicated client service in pricing, structuring and idea generation that enhance values. Manage risks associated with the business. Work in partnership with sales, trading and cross departmental partners to deliver a sustainable, client focused business.
**KEY RESPONSIBILITIES**
responsible for working in partnership with broader GM, GCIB and JCIB teams to develop the business globally
responsible for pricing, trading with clients and managing risks for structured products
responsible for delivering and growing a sustainable, client-focussed, solution-oriented business
responsible for maximising profitability from leveraging and enhancing the Groupu2019s customer franchise.
responsible for working in partnership with Sales, Trading and Research in MUS International to deliver products that meet the needs of our clients.
Responsible for working in partnership with other parts of the Group to deliver franchise and business growth
**WORK EXPERIENCE**
Essential:
At least 4 years of working experience at major financial institutions
Experience in structuring and pricing of complex derivatives
Preferred:
Risk management experience of non-linear trading books
**SKILLS AND EXPERIENCE**
**Functional / Technical Competencies:**
Essential
Knowledge of financial market and instruments including derivatives
Good communicator
Strong numerical skill
Proficient Microsoft Excel skills
Diligent and disciplined in risk management
Preferred:
Ability to code
**Education / Qualifications:**
Essential
University Degree or equivalent
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
Vice President, Structurer

Posted 13 days ago
Job Viewed
Job Description
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.
**OVERVIEW OF THE DEPARTMENT/SECTION**
MUFG (Mitsubishi UFJ Financial Group) is one of the world's leading financial groups. Headquartered in Tokyo and with approximately 350 years of history, MUFG is a global network with around 2,300 offices in over 50 countries including the Americas, Europe, the Middle East and Africa, Asia and Oceania, and East Asia. The group has over 150,000 employees, offering services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.
As one of the top financial groups globally with a vision to be the world's most trusted, we want to attract, nurture and retain the most talented individuals in the market. The size and range of MUFG's global business creates opportunities for our employees to stretch themselves and reap the rewards, whilst our common values, to behave with integrity and responsibility, and to build a culture which is fair, transparent, and honest, underpin everything that we do. We aim to be the financial partner of choice for our clients, whatever their requirements, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
MUFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: MTU) stock exchanges. The group's operating companies include, but are not limited to, MUFG Bank, Mitsubishi UFJ Trust and Banking (Japan's leading trust bank), Mitsubishi UFJ Securities Holdings (one of Japan's largest securities firms), and MUFG Americas Holdings.
**Structured Trading Group (STG)** is the main hub for Structured Products at MUFG. The desk is responsible for the structuring, trading and management of Structured Derivatives in Interest Rates, FX and Hybrid products. STG services the clients of MUFG and its affiliates by leveraging their best in class infrastructure, product expertise and sophisticated risk management capabilities to deliver bespoked products and solutions consistently across the regions.
**MAIN PURPOSE OF THE ROLE**
Main structurer in the STG department with the objectives of Franchise Development through dedicated client service in pricing, structuring and idea generation that enhance values. Manage risks associated with the business. Work in partnership with sales, trading and cross departmental partners to deliver a sustainable, client focused business.
**KEY RESPONSIBILITIES**
+ responsible for working in partnership with broader GM, GCIB and JCIB teams to develop the business globally
+ responsible for pricing, trading with clients and managing risks for structured products
+ responsible for delivering and growing a sustainable, client-focussed, solution-oriented business
+ responsible for maximising profitability from leveraging and enhancing the Group's customer franchise.
+ responsible for working in partnership with Sales, Trading and Research in MUS International to deliver products that meet the needs of our clients.
+ Responsible for working in partnership with other parts of the Group to deliver franchise and business growth
**WORK EXPERIENCE**
Essential:
+ At least 4 years of working experience at major financial institutions
+ Experience in structuring and pricing of complex derivatives
Preferred:
+ Risk management experience of non-linear trading books
**SKILLS AND EXPERIENCE**
**Functional / Technical Competencies:**
Essential
· Knowledge of financial market and instruments including derivatives
· Good communicator
· Strong numerical skill
· Proficient Microsoft Excel skills
· Diligent and disciplined in risk management
Preferred:
· Ability to code
**Education / Qualifications:**
Essential
· University Degree or equivalent
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
Vice President,Trade Surveillance
Posted today
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Vice President - Quant Developer
Posted 1 day ago
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Vice President,PMO Lead
Posted 3 days ago
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Vice President,Trade Surveillance
Posted 6 days ago
Job Viewed
Job Description
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 OF THE DEPARTMENT/SECTION**
The Core Compliance department at MUFG plays a critical role in safeguarding the integrity and reputation of the investment bank. It is responsible for ensuring that the firm operates within the framework of applicable laws, regulations, and internal policies.
Within Core Compliance, the EMEA Surveillance Department works closely with sales, trading and business units to identify and manage market abuse risks, executes a comprehensive trade and communication surveillance programme, and promotes a culture of ethical conduct and accountability.
Our Trade Surveillance coverage includes sales and trading activities across multiple asset classes and financial markets within our London Bank and Securities businesses and similar businesses in other EMEA countries. Communications Surveillance covers the UK population and certain EMEA and other overseas operations which affect EMEA business.
**NUMBER OF DIRECT REPORTS**
None
**MAIN PURPOSE OF THE ROLE**
The primary purpose of this role is detecting, monitoring, analysing and investigating trading activities of MUFG and its clients to identify possible violations of market abuse regulatory requirements and MUFG trading and compliance policies. In particular, this involves investigating alert referrals submitted by the Level 1 (L1) offshore surveillance team or escalations from the Front Office, ensuring that each case is assessed promptly and thoroughly. You will be responsible for identifying potential indicators of market abuse and escalating cases where appropriate, including those that may lead to the submission of Suspicious Transaction or Order Reports (STORs) to the regulator.
In addition, this role will play an important role in the optimisation of the trade surveillance programme, including delivering testing and calibration exercises of surveillance alerts, identifying and coordinating with our surveillance system vendors to develop new alerts, implementing solutions to increase efficiencies, and supporting and developing the L1 offshore surveillance team.
**KEY RESPONSIBILITIES**
In respect of vendor based automated surveillance or EUC alerts, reviewing and investigating all referrals made by the offshore L1 team; documenting and analysing all relevant information to determine if any concerns of suspicious activity merit escalation to the Trade Surveillance Senior Manager and EMEA Head of Surveillance.
Working collaboratively with the L1 team, overseeing the quality of alert disposition and providing feedback to support training efforts. In addition, assisting with refresher training modules and any new alert-scenarios that are added to the suite of alerts.
Conducting specific sample-based quality assurance testing of the L1 team alert closures to ensure adequacy, completeness and effectiveness.
Playing a leading role in the annual calibration and backtesting review process, contributing to the analysis of results and recommendations for parameter changes that could improve the effectiveness of the overall trade surveillance framework.
Supporting the delivery of the annual Market Conduct Risk Assessment and being able to effectively engage with the Front Office succinctly over matters of market abuse risk behaviours, to determine appropriate inherent risk ratings.
Displaying the ability to draft coherent and effective management action plans in order to remediate issues and gaps in the control framework arising from internal audits.
Ensuring that internal policies and procedures are updated accurately and appropriately in accordance with any changes to the surveillance framework.
Supporting the training of the L1 team in new products/platforms and market abuse risk typologies, specifically how these will impact alert disposition and the wider surveillance framework.
Conducting regular analysis of alert/referral patterns and escalation trends to identify emerging risks, behavioural anomalies, and potential market abuse issues.
Assisting with project work involving the automated trade surveillance systems, specifically alert development, UAT design, testing and sign-off. Supporting other members of the Surveillance team with these tasks as necessary.
Demonstrating a deep understanding of financial markets, covering major asset classes such as equities, fixed income, foreign exchange, repos, and derivativesu2014including but not limited to futures, swaps, options and structured products.
Having a comprehensive knowledge of relevant regulations and international standards, supporting MUFG's adherence to MiFID II, MAR, FX Global Code, Volcker Rule, amongst others.
Being responsible for the extraction, review and analysis of transaction data from source systems in relation to manual FX surveillance. This includes identifying opportunities to automate any manual surveillance processes.
Maintaining a positive working relationship with external surveillance system vendors and being a key contact for any incident management, development work and other strategic priorities.
Build relationships with wider Compliance, the Front Office teams and Technology in respect of escalation of issues including collating of evidence and supporting rationale.
Use automated communications surveillance systems to identify relevant communications between transaction participants and staff to enhance the investigation of trade surveillance referrals.
Assist in the preparation of management information for periodic Compliance reports to senior management and wider committees.
Ensure that the second line Compliance staff act as an independent challenge to the front office, escalating any concerns about breaches of law, regulation or internal policies.
Assisting in the planning and deliver of the Surveillance Teamu2019s annual objectives, the supervision of the L1 team, and supporting the Trade Surveillance Senior Manager / EMEA Head of Surveillance in the delivery of the departmentu2019s and wider Compliance Divisions objectives.
**WORK EXPERIENCE**
Essential:
Minimum of 6 years of practical experience in a trade surveillance function within an investment banking environment.
Experience in executing and managing detailed market abuse enquiries and investigations
**SKILLS AND EXPERIENCE**
**Functional / Technical Competencies:**
Essential
In-depth knowledge and expertise of the UK / EU Market Abuse Regulation, other relevant global regulations (e.g., MiFID II, Dodd Frank Act) and relevant FCA regulatory requirements and expectations on market abuse surveillance programmes.
Strong knowledge and understanding of UK and EU financial markets across major asset classes (including equities, fixed income, FX, and derivatives (options, futures, swaps, structured products)), trading behaviours and market abuse typologies.
Familiarity with surveillance technologies and optimization techniques.
Preferred:
Proficiency with trade surveillance platforms such as KX, Nasdaq SMARTS, or similar automated tools.
Experience in data analytics or automation to enhance surveillance effectiveness.
**Education / Qualifications:**
Essential
Bacheloru2019s degree in Finance, Economics, Business Administration, or a related field.
Preferred:
Advanced degree (e.g., MBA) or professional certifications such as CFA, CAMS, or ICA.
**PERSONAL REQUIREMENTS**
Excellent communication skills
Results driven, with a strong sense of accountability
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 creative and innovative approach to work
Excellent interpersonal skills
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
Strong numerical skills
Excellent Microsoft Office skills
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
Vice President,Trade Surveillance
Posted 6 days ago
Job Viewed
Job Description
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 OF THE DEPARTMENT/SECTION**
The Core Compliance department at MUFG plays a critical role in safeguarding the integrity and reputation of the investment bank. It is responsible for ensuring that the firm operates within the framework of applicable laws, regulations, and internal policies.
Within Core Compliance, the EMEA Surveillance Department works closely with sales, trading and business units to identify and manage market abuse risks, executes a comprehensive trade and communication surveillance programme, and promotes a culture of ethical conduct and accountability.
Our Trade Surveillance coverage includes sales and trading activities across multiple asset classes and financial markets within our London Bank and Securities businesses and similar businesses in other EMEA countries. Communications Surveillance covers the UK population and certain EMEA and other overseas operations which affect EMEA business.
**NUMBER OF DIRECT REPORTS**
None
**MAIN PURPOSE OF THE ROLE**
The primary purpose of this role is detecting, monitoring, analysing and investigating trading activities of MUFG and its clients to identify possible violations of market abuse regulatory requirements and MUFG trading and compliance policies. In particular, this involves investigating alert referrals submitted by the Level 1 (L1) offshore surveillance team or escalations from the Front Office, ensuring that each case is assessed promptly and thoroughly. You will be responsible for identifying potential indicators of market abuse and escalating cases where appropriate, including those that may lead to the submission of Suspicious Transaction or Order Reports (STORs) to the regulator.
In addition, this role will play an important role in the optimisation of the trade surveillance programme, including delivering testing and calibration exercises of surveillance alerts, identifying and coordinating with our surveillance system vendors to develop new alerts, implementing solutions to increase efficiencies, and supporting and developing the L1 offshore surveillance team.
**KEY RESPONSIBILITIES**
In respect of vendor based automated surveillance or EUC alerts, reviewing and investigating all referrals made by the offshore L1 team; documenting and analysing all relevant information to determine if any concerns of suspicious activity merit escalation to the Trade Surveillance Senior Manager and EMEA Head of Surveillance.
Working collaboratively with the L1 team, overseeing the quality of alert disposition and providing feedback to support training efforts. In addition, assisting with refresher training modules and any new alert-scenarios that are added to the suite of alerts.
Conducting specific sample-based quality assurance testing of the L1 team alert closures to ensure adequacy, completeness and effectiveness.
Playing a leading role in the annual calibration and backtesting review process, contributing to the analysis of results and recommendations for parameter changes that could improve the effectiveness of the overall trade surveillance framework.
Supporting the delivery of the annual Market Conduct Risk Assessment and being able to effectively engage with the Front Office succinctly over matters of market abuse risk behaviours, to determine appropriate inherent risk ratings.
Displaying the ability to draft coherent and effective management action plans in order to remediate issues and gaps in the control framework arising from internal audits.
Ensuring that internal policies and procedures are updated accurately and appropriately in accordance with any changes to the surveillance framework.
Supporting the training of the L1 team in new products/platforms and market abuse risk typologies, specifically how these will impact alert disposition and the wider surveillance framework.
Conducting regular analysis of alert/referral patterns and escalation trends to identify emerging risks, behavioural anomalies, and potential market abuse issues.
Assisting with project work involving the automated trade surveillance systems, specifically alert development, UAT design, testing and sign-off. Supporting other members of the Surveillance team with these tasks as necessary.
Demonstrating a deep understanding of financial markets, covering major asset classes such as equities, fixed income, foreign exchange, repos, and derivativesu2014including but not limited to futures, swaps, options and structured products.
Having a comprehensive knowledge of relevant regulations and international standards, supporting MUFG's adherence to MiFID II, MAR, FX Global Code, Volcker Rule, amongst others.
Being responsible for the extraction, review and analysis of transaction data from source systems in relation to manual FX surveillance. This includes identifying opportunities to automate any manual surveillance processes.
Maintaining a positive working relationship with external surveillance system vendors and being a key contact for any incident management, development work and other strategic priorities.
Build relationships with wider Compliance, the Front Office teams and Technology in respect of escalation of issues including collating of evidence and supporting rationale.
Use automated communications surveillance systems to identify relevant communications between transaction participants and staff to enhance the investigation of trade surveillance referrals.
Assist in the preparation of management information for periodic Compliance reports to senior management and wider committees.
Ensure that the second line Compliance staff act as an independent challenge to the front office, escalating any concerns about breaches of law, regulation or internal policies.
Assisting in the planning and deliver of the Surveillance Teamu2019s annual objectives, the supervision of the L1 team, and supporting the Trade Surveillance Senior Manager / EMEA Head of Surveillance in the delivery of the departmentu2019s and wider Compliance Divisions objectives.
**WORK EXPERIENCE**
Essential:
Minimum of 6 years of practical experience in a trade surveillance function within an investment banking environment.
Experience in executing and managing detailed market abuse enquiries and investigations
**SKILLS AND EXPERIENCE**
**Functional / Technical Competencies:**
Essential
In-depth knowledge and expertise of the UK / EU Market Abuse Regulation, other relevant global regulations (e.g., MiFID II, Dodd Frank Act) and relevant FCA regulatory requirements and expectations on market abuse surveillance programmes.
Strong knowledge and understanding of UK and EU financial markets across major asset classes (including equities, fixed income, FX, and derivatives (options, futures, swaps, structured products)), trading behaviours and market abuse typologies.
Familiarity with surveillance technologies and optimization techniques.
Preferred:
Proficiency with trade surveillance platforms such as KX, Nasdaq SMARTS, or similar automated tools.
Experience in data analytics or automation to enhance surveillance effectiveness.
**Education / Qualifications:**
Essential
Bacheloru2019s degree in Finance, Economics, Business Administration, or a related field.
Preferred:
Advanced degree (e.g., MBA) or professional certifications such as CFA, CAMS, or ICA.
**PERSONAL REQUIREMENTS**
Excellent communication skills
Results driven, with a strong sense of accountability
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 creative and innovative approach to work
Excellent interpersonal skills
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
Strong numerical skills
Excellent Microsoft Office skills
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
Vice President Transaction Execution
Posted 7 days ago
Job Viewed
Job Description
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.
The Transaction Execution team is part of the Global Corporate and Investment Banking Division of MUFG. The team works seamlessly with the EMEA Legal, Relationship Management and Capital Markets teams to bridge legal and commercial expertise and deliver structuring, advisory and execution services to MUFGu2019s corporate clients.
**MAIN PURPOSE OF THE ROLE**
The Transaction Execution team covers loan transactions for leveraged and investment grade corporate borrowers using documentation which is LMA-based, US / cov lite style and/or hybrids of the two. Financings include event-driven and flow/relationship facilities (bridge, term and revolving credit). Syndicated transactions (including underwritten and best efforts) form the majority alongside a minority of bilaterals.
This role is focused on (i) delivering differentiated client service; (ii) managing the negotiation of legal documentation for loan financing transactions (including mandate/commitment documents, facility agreements and intercreditor agreements (as applicable)); and (iii) assisting with any structuring considerations and identifying any risks or issues that arise in the broader transaction documentation or process.
We are seeking a Vice President with a background in leveraged finance (working with sponsors or corporates) to expand the teamu2019s specialism in working with sub-investment grade corporate clients.
**KEY RESPONSIBILITIES**
Leading transaction execution service (with involvement from pitch phase to completion) and negotiation of financing documentation with corporate borrowers and their external counsel and/or other arranging banks
Advising on effective structuring of transactions; demonstrating an in-depth knowledge of corporate structure, guarantee, security, subordination and leakage issues
Reviewing documentation at term sheet and credit agreement stages for compliance with MUFGu2019s internal policies and best practice standards, and to confirm alignment with credit approval documentation
Acting as a trusted advisor and building relationships with MUFGu2019s existing and new corporate clients
Ensuring consistency regarding documentation standards; being the central touch point/centre of excellence for emerging market trends and documentation-related internal escalation processes
In conjunction with the EMEA Legal team, identifying legal and documentation process risks with a view to continuously improve the control architecture around documentation
Developing junior staff and conducting internal training sessions on documentation issues in syndicated loan and on recommended best practices in executing transactions
**SKILLS AND EXPERIENCE**
**Work experience**
Experience as a qualified finance lawyer (with leveraged finance specialism) in a law firm
Experience in an in-house environment, either as a secondee or in a legal or execution role
Up to date market experience in leveraged finance (for corporates and/or sponsors)
Knowledge of high yield bond processes helpful
Pitching experience helpful
**Functional / Technical Skills and Competencies:**
Ability to spot issues, think outside the box and devise practical and appropriate solutions that meet business objectives
Ability to respond to internal and external stakeholder requests in fast paced, deadline driven deals, often requiring same day turnaround
Ability to be proactive and anticipate issues with legal documentation
Ability to break-up and simplify complex issues and communicate concisely and clearly
Ability to balance the need for further analysis and the need for timely decisions given commercial pressures
Ability to build relationships with internal stakeholders, higher levels of management and clients to inspire confidence
Ability to act independently but seek involvement of Head of team, senior management and EMEA Legal team on highly complex issues, unusual situations and matters that may pose significant financial, legal, reputational and/or other risk to MUFG
Coaching mindset and aptitude for disseminating accumulated knowledge and experience among colleagues
Innovative mindset and willingness to experiment with and embrace AI
Energetic, enthusiastic, collegiate and responsive team player
Able to prioritise, multi-task, and organise
High level of integrity and professionalism
Preferred proficiency in at least one European language other than English
**Education / Qualifications:**
University level qualifications or equivalent
SRA qualified solicitor
**PERSONAL REQUIREMENTS**
Excellent attention to detail and accuracy
Excellent communication skills
Excellent interpersonal skills
Results driven, with a strong sense of accountability
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
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
Willingness to work occasional off-hours remotely to respond to emails and requests if needed
Excellent Microsoft Office skills
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