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.

Job Description

3+ years of transactional regulatory reporting experience. Proven track record in a reg ops role with a proactive mindset of spotting potential issues before they become problems. Comfortable working in a fast-paced environment, strong organizational skills with the ability to manage multiple priorities without losing accuracy and completeness within daily duties. Excellent written and verbal communication skills with the ability to collaborate with cross-functional teams across the broker dealer.

Additional Job Description

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 and fixed income related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606, and TRACE.

• The individual will assist with monitoring intraday TRACE exceptions of mismatches and rejects and remediate as necessary.

• The individual will review CAT and CAIS reporting for any rejects, linkage, or inconsistency errors, and to investigate and remediate as necessary.

• Perform daily reconciliations for TRACE, CAT, CAIS, 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:

• Versed in range of product offerings including common and preferred equities, listed and OTC options, and fixed income products.

• Experience with Microsoft suite of products, Bloomberg, and Broadridge related systems (BPS, IMPACT, GLOSS).

• Experience with nTier software is 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