Compliance Advisory Vice President
Core
Senior Compliance Advisory & Market Surveillance Analyst supporting regulatory compliance, market surveillance, governance, and regulatory change management across multiple MUFG entities.
Role type
Senior IC compliance analyst (market surveillance & regulatory reporting)
Builds
Compliance programs, regulatory reporting, policy governance, and risk management workflows for global financial entities
Domain
Financial Services / Securities Regulation / Compliance
Required skills
Analytical skills, knowledge of U.S. securities regulations, market conduct surveillance frameworks, regulatory change management, audit support, third-party risk assessment, policy governance
Preferred skills
Experience with TRACE reporting, SEC Rule 15a-6 exemptions, CalSTRS Form 600-H, Large Trader Reporting (Rule 13H), FINRA/SEC/CFTC regulatory monitoring, Gifts & Hospitality compliance
Technologies
TRACE reporting systems, MCO workflows, regulatory change trackers, enforcement action trackers
Responsibilities
Provide best-efforts TRACE eligibility determinations; Review and assess applications for SEC Rule 15a-6 exemptions; Manage annual CalSTRS Form 600-H disclosure submissions; Support Large Trader Reporting (Rule 13H) obligations; Conduct Third-Party Compliance Risk Management (TPCRM) assessments; Monitor regulatory developments from agencies including FINRA, SEC, CFTC, NFA, FinCEN, NYSE, Nasdaq; Coordinate Written Supervisory Procedures (WSPs) updates and global governance communications; Review, approve, or deny Gifts & Hospitality submissions in accordance with Anti-Bribery & Corruption requirements.
Seniority
Senior, hands-on IC
