Associate, Regulatory Onboarding Specialist

This role is to support the Securities Client Onboarding and Regulatory Management Lead with the build-out of an Onboarding and Regulatory Management Centre of Excellence. As part of the Onboarding and Regulatory management team, the individual would be required to co-ordinate the regulatory onboarding process for the securities business including document management and regulatory information capture. As a significant support function, interacting with the customer and internal stakeholders, customer experience is paramount for the team. This individual will be a key point of contact for a number of desks in relation to regulatory onboarding for new clients and new product set ups along with management of regulatory uplifts as required. Delivery of these activities and proficient management information is essential to succeeding in this area.,

• Coordinate the onboarding process for Securities & Global markets businesses, including document management and regulatory information capture, taking responsibility for the efficient management of regulatory onboarding pipeline.
• Regulatory Onboarding Point of contact: Dedicated point of contact for Securities Front Office in relation to their onboarding pipeline. Act as liaison with end to end onboarding team, compliance and legal to co-ordinate regulatory onboarding process.
• Regulatory Uplifts / Remediations: Actively involved in any projects / processes focused on changes in existing or new regulations. Ensuring onboarding procedures and systems are updated to capture new regulatory changes in advance of processes transitioning to BAU.
• Regulatory Onboarding SME: develop a good understanding of key systems utilised by onboarding teams and data consumers such as regulatory reporting / operational teams. Act as central point of contact in case of downstream issues due to regulatory classifications captured at point of onboarding.
• Client Interaction: direct interaction with client regarding regulatory / onboarding requirements. Ensuring alignment with other onboarding areas to ensure enhanced client experience.
• Management Information (MI): Maintain and publish meaningful MI in relation to regulatory onboarding activities. MI should demonstrate regulatory compliance prior to any trading set up.
• Liaison with Compliance: Act as a Compliance Liaison function for related matter, meeting with Markets compliance and compliance advisory, ensuring queries are resolved, ad-hoc analysis and reporting is completed.
• Active involvement in driving procedural and policy improvements: Actively seek out opportunities to improve the regulatory onboarding process; including the strengthening & implementation of controls and improving efficiency.
  
  Essential:
• 3-5 years of relevant experience in Front Office (1LoD) management environment
Preferred:
• Previous experience within a top tier financial institution preferable, but not essential
• Good understanding of Securities / Global Markets products, Broad knowledge of Markets Regulations (MIFID II, EMIR, Dodd Frank, CFTC, SBSD, Volcker, FATCA/CRS)
• Tangible experience of Client Relationship Management within a complex organizational structure, with the ability to demonstrate successful outcomes of historic Client Outreach management
• Regulatory onboarding SME with hands on experience in managing end to end onboarding.
• Able to communicate effectively to key stakeholders at all levels and drive positive outcomes
• Face to face connects with Front Office, Clients, Compliance and other stakeholders as needed
• Strong work ethic and ability to work with limited supervision in a busy and sometimes pressurised environment.
• Excellent Attention to detail
• Experience of creating processes and delivering services by using tools such as data mapping, data and business flow diagrams
• Ability to effectively utilise Microsoft Office (particularly excel and power point)
• Experience of preparing MI and presentations, Excellent communication skills
• Results driven, with a strong sense of accountability
• A proactive, motivated approach.
• The ability to operate with urgency and prioritize work accordingly
• Strong decision making skills, the ability to demonstrate sound judgement
• A structured and logical approach to work
• Strong problem solving skills
• Excellent interpersonal skills
• Excellent attention to detail and accuracy
• A calm approach, with the ability to perform well in a pressurized environment
• Excellent Microsoft Office skills
We are open to considering flexible working requests in line with organisational requirements.

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. 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 vison 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, Bank of Tokyo-Mitsubishi UFJ, 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. Please visit our website for more information - mufgemea.com. The End-to-end Onboarding and Regulatory management team is part of the Client Lifecycle Management team, which is situated within the Corporate and Investment Banking Division of MUFG Bank. However, this function acts as a centralized 1st line support team, providing support to MUFG Securities both in London and in Amsterdam and MUFG Bank, London Branch.