Legal Regulatory Advisor – Vice President – Global Markets
Core
Provide legal and regulatory guidance to MUFG's Global Markets securities and derivatives businesses, ensuring compliance with SEC, CFTC, FINRA, and NFA rules.
Role type
Vice President, Legal Regulatory Advisor (Global Markets)
Builds
Regulatory compliance frameworks and risk management strategies for broker-dealer and swap dealer entities
Domain
Financial Services / Capital Markets / Securities & Derivatives
Required skills
Securities and derivatives regulation expertise, SEC/CFTC/FINRA/NFA rule knowledge, external counsel management, contract negotiation, regulatory advocacy, impact assessment, legal research
Preferred skills
Sales/trading/investment banking experience, commercial awareness, strategic risk management, stakeholder relationship building
Technologies
MS Office suite, electronic document management tools
Responsibilities
Advise on regulatory compliance for broker-dealer and swap dealer businesses; Liaise with external counsel to manage legal engagements; Draft and negotiate agreements and regulatory communications; Develop global knowledge of securities and derivatives regulation; Participate in regulatory change projects and policy development; Support internal investigations and litigation matters; Advise on regulatory advocacy efforts with trade groups; Participate in governance working groups and management committees
Seniority
Senior, hands-on IC with strategic advisory scope