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Regulatory Control (Bank) provides support to MUFG Bank Ltd London and Paris Branches and MUFG Bank (Europe) N.V. primarily for all aspects of MIFID2 and EMIR reporting regimes.
Main Purpose of the role
Provide monitoring and support for;
regulatory reporting obligations under MiFID2/MiFIR i.e. Trade and Transaction Reporting, Cost Disclosure and Quality of Execution and perform validations/reconciliations on the reported Data.
regulatory obligations under EMIR Trade reporting, and EMIR Portfolio Reconciliation.
regulatory obligations under DFA Portfolio Reconciliation and Timely Confirmation.
Liaising with Front Offices and acting as the interface between the system development divisions and the wider business stakeholders. The role will also involve regular and focused communication with various EHQ and EU stakeholder groups, the business and support functions and to the senior stakeholder population in the form of regular MIS.
Collaboration in the planning, design, testing and implementation of new new requirements and it will be necessary that the role will understand both the existing and pipeline regulatory requirements.
Provided focused SME support for both London EU offices in respect of all MiFIR and EMIR Reporting obligations ensuring the business is in full compliance with existing and any upcoming regulations.
Project team member (User) ensuring successful project delivery and testing.
Work closely with the Compliance Advisory team and Regulatory Change team to continually improve BAU processes and controls required to comply with the rules.
Provide cover in during holiday/sickness for other team members, cross train other roles and ensuring the team responsibilities are completed on a daily basis.
Experience with 1 or more of EMIR or MiFID regulations including Transaction Reporting and Portfolio Reconciliation
Experience with Derivatives gained in an operations environment i.e. back/middle office
Previous Project experience
Knowledge of 1 or more of the following; Pyramid/Sphinx, OVS, MTS, O/A & Genesis
Skills and Experience
Functional / Technical Competencies:
Good knowledge of Excel and other MS applications to VBA Preferred
Project management qualification
Education / Qualifications
A Level (Degree nice to have)
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
A structured and logical approach to work
Strong problem solving skills
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.
Performance and Duties
The role holder will be assessed in accordance with their employing entity's performance framework and process with relevant input obtained from the dual hatting entity as relevant.
As duties and responsibilities change, the job description will be reviewed and emended in consultation with the role holder. The role holder will carry out other duties as are within the scope, spirit and purpose of the role as requested by their line manager or Department Head.
Managing conflicts of interests
The role holder will have responsibilities for both MUFG Bank and MUFG Securities EMEA plc.
The role holder will be required to perform their duties and responsibilities on an entity neutral basis, without favour.
The role holder is required to follow regulatory requirements applicable to ensure each business is appropriately supported and to maintain the legal entity integrity of each of MUFG Bank and MUS.
Working terms are dictated by functional mandates, the terms of the Dual-Hat Arrangement Agreement in place between MUFG Bank and MUFG Securities EMEA plc and any other relevant agreements entered into between MUFG Bank and MUFG Securities EMEA plc.
The role holder will have responsibility for identifying and resolving where there may be a difference or conflict in needs between MUFG Bank and MUFG Securities EMEA plc, escalating to their manager where required.
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.
We are open to considering flexible workingrequestsin line with organisational requirements.