Vice President, Compliance - Regional Issues Management

MUFG Americas; City Of London; On-site; GBP 55,000 - 75,000; Full time

Job summary

A leading financial services firm in the City of London is seeking to hire a professional for Compliance Issues Management. In this role, you will collaborate with stakeholders to develop and execute compliance programs, track and report compliance issues, and support internal audits. The ideal candidate has strong communication skills, a solid understanding of compliance frameworks, and can manage multiple priorities efficiently. Flexible working arrangements are available.

Qualifications

• Strong competencies across Microsoft Office tools.
• Good understanding of banking and compliance frameworks.
• Experience in financial crimes compliance issues.

Responsibilities

• Lead the development and execution of compliance programs.
• Track and report compliance issues across teams.
• Support Compliance Division Leadership with reporting.

Skills

Strong verbal and written communication skills

Attention to detail and accuracy

Problem-solving acumen

Stakeholder management

Ability to manage priorities

Proficiency in Microsoft Office

Tools

Microsoft Office (Excel, Word, PowerPoint, Outlook)

Adobe/PDF

Job description

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.

MAIN PURPOSE OF THE ROLE

The EMEA Compliance Issues Management function coordinates and facilitates the identification, escalation, reporting, and remediation of Compliance Issues across EMEA Bank and Securities entities (dual‑hat). This includes any gap between current practice or approach and a policy, procedure, law, or regulation relating to Compliance – however identified (by whomever and whenever) – including but not limited to any regulatory finding of a deficiency in or relating to the Core Compliance framework.

ROLES, SCOPE and REPORTING STRUCTURE

• Reporting to: Regional Issues Coordinator, Financial Crimes Office for EMEA (FCOE)

KEY RESPONSIBILITIES

Specifically, you will be accountable and responsible for taking appropriate action with respect to all regional issues management requirements including but not limited to;

1. Programme development and execution

• Collaborate and liaise with stakeholders across all three of the MUFG lines of defence, including core second‑line compliance programmes, business functions, and Internal Audit.
• Support the design, implementation, and continuous improvement of Compliance Escalation and Issue Management frameworks for effective execution of Issue escalation, remediation, closure, and Board & Management reporting/MI.
• Lead control document development and projects inclusive of preparing communications, open sessions, and approvals.
• Develop subject matter expertise regarding regional execution of Issues Management requirements, documentation, and reporting including management of the Issues database.
• Lead or support compliance and program governance activities, working with other members of the team on strategic and operational enhancement.

2. Tracking, monitoring, and reporting

• Collaborate with regional Compliance offices to align global and regional requirements for Issues Management processes, review & challenge, reporting, and analysis.
• Liaise with internal departments on issues management deliverables/artefacts to be presented in various Committee meetings.
• Analyse issue data and provide actionable insights that lead to program enhancement opportunities.
• Support Compliance Division Leadership with reporting on status of Compliance issues and programme development.
• Provide support during internal audits and regulatory inspections by providing necessary documentation, facilitating walkthroughs, and ensuring adherence to the department’s standards and procedures.
• Collect and interpret data to produce reports.
• Utilise strong verbal and written communication skills to drive accountability and effectively engage with leadership and stakeholders.

3. Functional competencies

• Strong competencies across Microsoft Office (Excel, Word, PowerPoint, Outlook), Microsoft Teams or similar functionalities, and Adobe/PDF is critical.
• Good understanding of banking, compliance, and the working practices of compliance governance frameworks and documentation requirements.
• Practical understanding of wider Core compliance risks and controls in order to analyse facts, exercise sound judgement, proactively identify and elevate challenges, and implement solutions.
• Attention to detail and accuracy, and ability to critically review and analyse both quantitative data and qualitative reporting.
• Manage priorities and workloads effectively to deliver high quality outcomes within strict time constraints.
• Acumen for problem‑solving and proactively identifying challenges and solutions.
• Willingness to collaborate with others, learn new skills, and facilitate continuous improvement of internal processes.
• Experience of developing an effective network across a range of stakeholders, including senior management
• Experience in financial crimes compliance issues management, program management, risk management, or governance and oversight.

We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

We make our recruitment decisions in a non‑discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.