Regulatory Operations Associate

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

The individual will play a critical role within regulatory operations to support daily business activities. Primarily with exception management and correction report submissions to FINRA. The individual will be expected to monitor live reporting queues within the FINRA reporting facilities, research, and escalate exceptions to the front office and/or back office support functions. The individual will also support ongoing regulatory projects that have mandated compliance dates by FINRA. The individual will also play a role with certain supervisory functions that the team performs on a periodic basis.

Responsibilities:

• Ideal candidate will demonstrate a strong understanding of equity related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606.
• Primary responsibilities will be to monitor CAT and CAIS reporting for any rejects, linkage, or inconsistency errors, and to investigate and remediate as necessary.
• Perform daily reconciliations for CAT, CAIS, CAT vs 606, and equity reporting (ORF/TRF) through the firm’s exception management and monitoring software, nTier.
• Candidate should possess strong analytical skills, ability to identify key issues impacting regulatory reporting and effectively communicate issues to the team and management ensuring regulatory obligations are met.
• Execute appropriate governance and controls to mitigate regulatory and operational risks.
• Ability to work independently as well as be team player supporting a positive and collaborative work environment.
• Interface with the business, technology, and compliance on an ongoing basis for all equity product initiatives. Assessing and implementing reporting enhancements to support the businesses’ growth.
• Participate with the implementation of new transactional regulatory reporting requirements. Working closely with the project team to analyze requirements, create test scripts, and validate the results.
• Assist Compliance with completing inquiries from Market Regulation Department of FINRA and SEC.
• Provide complete, accurate and timely Blue Sheet data to satisfy EBS regulatory requests.

Qualifications:

• Common and Preferred Stocks
• Listed and OTC Options
• Experience with Broadridge related products (BPS, IMPACT, GLOSS).
• Experience with nTier software is a plus.
• Fixed Income and Derivative products are a plus.

Experience with TRACE, Short Interest, and CFTC are a plus.

The typical base pay range for this role is between $90K - $137K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

Mufg Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.