Director, Head of Regulatory Compliance Processes

Mitsubishi UFJ Financial Group; City of London; On-site; GBP 100,000 - 150,000; Full time

Job summary

A leading financial services firm in London is seeking an experienced Director to head Regulatory Compliance Processes. The role involves managing a team, ensuring compliance with regulations, and improving governance practices. Ideal candidates will have over 10 years of compliance experience in international financial institutions and strong people management skills. Excellent communication and decision-making abilities are essential for success in this role.

Qualifications

• 10+ years’ experience in Compliance at leading international financial services institutions.
• Strong people management experience.
• Extensive experience executing core compliance programmes.

Responsibilities

• Lead the Regulatory Compliance Processes Team.
• Manage EMEA Regulatory Compliance Processes.
• Ensure documentation and reporting of compliance risks and controls.

Skills

People management

Regulatory compliance

Process improvement

Interpersonal communication

Decision making

Attention to detail

Collaboration

Problem solving

Education

Postgraduate degree

Tools

Excel

Word

PowerPoint

Job description

Director, Head of Regulatory Compliance Processes

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.

Main Purpose of the Role

• 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 Responsibilities

• Managing staff within the EMEA Regulatory Compliance Processes Team. Minimising 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 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.

Skills and Experience

Requirements

• Postgraduate degree with further professional qualification an advantage.
• 10+ years’ experience in Compliance at leading international financial services institutions.
• 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.

Number of Direct Reports

To be determined.

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.