565 Vp jobs in the United Kingdom
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 of Finance
Posted 10 days ago
Job Viewed
Job Description
In partnership with Keeler Recruitment , Thurne-Middleby is seeking an exceptional finance leader to join its board as Vice President of Finance.
Thurne-Middleby has an international reputation for high-quality, precision-engineered industrial slicing systems for bacon, cooked meats, and cheese applications. Building on more than 50 years of industry experience, Thurne has pioneered a succession of industry first technologies in high-speed slicing, incorporating advanced vision, scanning, and computer software that serve both small family firms and major global processors.
All assembly is carried out at our Norwich headquarters by a skilled team of mechanical and electrical engineers, with a dedicated facility for in-house component production. Our machining capabilities range from multi-axis CNC machining and milling to sheet metal fabrication and welding.
Since 2015, Thurne has been part of The Middleby Corporation (NASDAQ: MIDD), a global group of 100+ companies in food processing, commercial cooking, and residential appliances. With Middleby’s backing, Thurne’s commitment to innovation has never been stronger, delivering production efficiencies and value to food processors around the world.
As Vice President of Finance, you will join the board-level leadership team, reporting directly to the President of Thurne-Middleby and working closely with the Middleby Food Processing Division. This is a pivotal role with broad scope and exciting future opportunities — ideal for either an ambitious finance leader stepping up to their first board-level appointment, or an established professional ready to expand their international and strategic remit.
Key Responsibilities- Lead all financial operations, including budgeting, forecasting, reporting, and analysis (local and corporate).
- Provide strategic insight to the President and Group, influencing key business decisions.
- Manage and develop the Finance team, with responsibility for HR, Payroll, and IT functions.
- Ensure compliance with UK and US GAAP, financial regulations, and internal controls.
- Manage treasury, cash flow, and working capital.
- Lead an ERP and HR systems upgrade within the next 18 months.
- Support a planned site development project (within 3–4 years).
- Contribute to wider Middleby Food Processing Group initiatives, with potential for wider opportunities in the future.
- Fully qualified accountant (ACCA / CIMA / ACA) with 5+ years’ managerial experience.
- Strong track record in manufacturing, ideally with complex projects, R&D, and percentage-of-completion revenue recognition.
- Experience of both UK and US GAAP preferred.
- ERP and systems implementation experience.
- Understanding of employment and contract law.
- Strong analytical, commercial, and leadership skills.
- A confident and enquiring leader — able to challenge senior stakeholders and drive positive change.
Excellent package to match the best including relocation package for the right candidate, full details upon request.
Vice President,Programme Manager
Posted today
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Job Description
Vice President Transaction Execution
Posted today
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Vice President - Quant Developer
Posted today
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Vice President,PMO Lead
Posted 2 days ago
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Job Description
Vice President,Trade Surveillance
Posted 5 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 5 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