Director, Head - Front Office Controls

Specifically, you have accountability for the following named departments, this includes, Specifically, you will be accountable and responsible for taking appropriate action with respect to the Company and MUS EMEA / S&T Office / FOC, including: Risk and Control oversight

• Responsible and Accountable for supporting the development and maintenance of S&T Operational Risk processes, controls and reports, ensure Sales & Trading Desk Heads have visibility of key controls in their business.
• Responsible for the reporting and management of non-financial risk incidents, issues and any associated actions - help to ensure FO-owned issues/actions are resolved in a timely manner, escalate where required.
• Responsible and Accountable for providing support and training to Sales & Trading (S&T) for all Operational Risk and Control requirements.
• Responsible and Accountable for providing support to S&T in their assessment and documentation of risk and controls (RCSAs) across each FO Desk
• Responsible for developing and maintaining the MUSE S&T Controls Dashboard and associated reporting.
• Responsible for pro-actively enhancing and promoting a positive conduct and risk culture across S&T.
• Responsible for working with S&T Management to design and implement new control initiatives within S&T where required
• Responsible for evolving the control framework, work with S&T Management to design, deliver or propose control solutions to mitigate existing and emerging non-financial risks within S&T
• Responsible for review and challenge of control MI to ensure that this achieves both risk and control oversight requirements for Sales & Trading Heads
• Responsible and Accountable for the support and administration of MUSE S&T N-FR governance Fora and Desk Head meetings (meeting packs, Minutes, notes, actions etc) where required
• Responsible for developing strong working relationship with 1st Line teams (e.g. S&T, Business Management, Ops, TEC, IDM), 2nd Line teams (e.g. Compliance, Financial Crime and Operational Risk) and 3rd Line (Internal Audit) to ensure 'best in class' support model for S&T.
• Responsible and Accountable for performance of testing on Control Population
• Responsible for communication of findings/results to relevant stakeholders and Committees and internally with the team - work with relevant individuals to agree actions or next steps with control owners.
FO Supervision
• Responsible for the maintenance and monitoring of the MUSE FO Supervision framework, including:
+ Training + Policy review + Supervisory Plan review and challenge + Supervisory Attestation completion + Delegation management + Review/challenge of supervisory metrics
• Responsible for representing S&T across inter-divisional and inter-entity N-FR governance fora to achieve an informed, consistent and transparent approach to supervision and controls.
• Responsible for collaboratively promoting the enhancement of supervision tools, processes and practices.
• Responsible for development and maintenance of the MUSE S&T Supervision Dashboard and associated reporting.
Regulatory Assurance
• Responsible and Accountable for supporting the development and implementation of regulatory initiatives impacting the business including provision of training, input into key firmwide regulatory projects which impact the Front Office and implementation of regulatory initiatives;
• Responsible and Accountable for developing and maintaining robust business line regulatory control processes (including controls framework, MI development and review) to ensure that there is consistent understanding of regulatory obligations across the FO)
• Responsible for creation and implementation of key first line governance processes across key regulatory touchpoints
• Responsible as a central contact point within S&T for regulatory escalations and initiatives, working with Support Functions as part of regulatory change initiatives as required
General
• Working across the international business platform to harmonise first control processes and procedures where possible
• Being proactive and taking the initiative to understand emergent FO risks and to escalate as appropriate
• Responsible for representing the FOC team in Committee meetings and other forums and positively promoting the value and contribution of the team, across the Firm.
  
  10+ years in Control and/or Sales and Trading Business Management (or equivalent) in a global/ ,multi-national financial institution
• Experience in multi-regulatory supervision frameworks
• Track record with large scale Controls programme remediation
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
Please note, the following hybrid working model applies for this role - 4 days office based (London)/1 day wfh 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 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.