Markets Compliance Testing

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.

MUFG is seeking a Vice President for Markets Compliance Testing (Second Line of Defence) to join their London office, playing a pivotal role in the delivery of risk-based assurance and compliance testing across EMEA. This is an exceptional opportunity to work within a globally respected financial institution renowned for its commitment to integrity, robust governance, and continuous professional development. As part of the Compliance Testing Delivery team, you will be instrumental in supporting business growth through high-quality reporting and independent challenge, while nurturing a culture of collaboration and knowledge sharing. MUFG offers a supportive environment where your expertise will be valued, and your career progression actively encouraged. You will benefit from flexible working arrangements, generous pension contributions, and access to ongoing training opportunities that empower you to expand your skills and make a meaningful impact on both the organisation and your own professional journey.

• Join a global leader in banking with a strong reputation for ethical standards, inclusive culture, and commitment to employee development; enjoy flexible working opportunities and generous pension contributions as part of your benefits package.
• Play a key role in delivering risk-based compliance testing and monitoring plans across EMEA, providing independent assurance to senior management while collaborating closely with regulators, auditors, and internal stakeholders.
• Benefit from comprehensive training opportunities and supportive leadership that encourages personal growth, knowledge sharing, and the development of your technical expertise within a highly knowledgeable team.

What you'll do: 

As Vice President, Markets Compliance Testing at MUFG you will play an integral role in shaping the compliance landscape across EMEA as well as supporting global testing teams across the US and APAC. Your day-to-day responsibilities will involve leading complex risk-based markets compliance reviews that underpin the firm’s assurance framework. You will collaborate closely with senior management, regulators, auditors, auditors, Internal and global teams and internal teams to ensure robust controls are maintained. By supervising junior colleagues and fostering their development through coaching and mentoring sessions, you will help build a dependable team committed to excellence. Your technical expertise will be crucial in analysing regulatory and market risks and embedding best practices into operational processes. You will also contribute significantly to departmental planning by identifying key areas for review based on evolving regulations. Regularly updating procedures ensures that MUFG remains compliant with industry standards while facilitating prompt remedial actions when needed. Through clear reporting and stakeholder engagement you will drive transparency across the organisation. Participation in technology projects further enhances your impact by supporting regulatory implementations. Ultimately your efforts will strengthen MUFG’s compliance function while offering you opportunities for personal growth within a supportive environment.

• Deliver risk-based markets compliance thematic and desk reviews across London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders. The role will extend to support the planning and execution of globally led reviews across EMEA, US and APAC regions.
• Lead the design and execution of risk-based testing programmes, ensuring all processes are run efficiently to deliver reliable information that supports business growth and control procedures.
• Supervise, coach, support, and train junior members of the Compliance Testing Delivery team while managing direct reports to foster a collaborative environment.
• Conduct high-quality technical analysis of regulatory risks and requirements applicable to specific activities, embedding these into operational practices to mitigate risks effectively.
• Assist management in creating and delivering the department’s Assurance Plan by identifying key areas of focus for reviews based on current regulatory developments.
• Periodically review relevant procedures, systems, and controls to ensure they are up-to-date and effective; facilitate remedial action where necessary.
• Provide regular management information (MI) for periodic compliance reports to senior management, ensuring clarity and accuracy in communication.
• Act as a subject matter expert (SME) in compliance technology or regulatory implementation projects; participate in staff training, procedure updates, and administration tasks as required.
• Develop strong relationships with key stakeholders across front office and support functions through effective communication and issue escalation.
• Track, manage, and take ownership of remediation actions related to compliance & conduct issues by working collaboratively with relevant business stakeholders.

What you bring:

Your proven experience as Vice President, Markets Compliance Testing will be underpinned by deep familiarity with regulatory requirements governing financial institutions operating across EMEA. You bring extensive hands-on expertise in designing risk-based reviews that address complex compliance challenges faced by banks or securities firms. Your ability to interpret UK/EU regulations enables you to embed best practices into operational processes seamlessly. Interpersonal skills are essential as you engage regularly with diverse stakeholders—building trust through honest communication while addressing substantive issues promptly. Supervisory experience allows you not only to manage direct reports but also nurture their growth via coaching sessions or mentoring initiatives. Written communication is another strength; your reports are clear concise yet comprehensive enough for both internal audiences (senior management) as well as external parties (regulators). Participation in departmental risk assessments showcases your collaborative approach towards setting priorities aligned with organisational goals. Acting independently as an SME on compliance matters—including technology projects—demonstrates versatility while supporting wider division objectives reflects loyalty towards communal success. Your commitment towards ongoing learning ensures that both you—and those around you—remain knowledgeable about industry trends thus enhancing overall product/service quality at MUFG.

• Extensive experience in compliance testing or quality assurance within financial services or banking environments ideally covering markets activities across EMEA.
• In-depth knowledge of UK and EU regulatory frameworks including practical interpretation of regulations relevant to banking or securities operations.
• Proven ability to deliver technically complex risk-based reviews with comprehensive analysis tailored for senior management audiences.
• Strong interpersonal skills enabling you to build lasting relationships with stakeholders across front office functions as well as support teams.
• Demonstrated capability in supervising teams including coaching junior staff members through developmental opportunities such as bilateral meetings or mentoring sessions.
• Excellent written communication skills for producing high-quality reports that clearly articulate findings for both internal stakeholders and external regulators.
• Experience participating in departmental risk assessment exercises contributing insights that help direct compliance priorities effectively.
• Ability to act independently as an SME on compliance matters including technology or regulatory implementation projects; comfortable supporting staff training initiatives.
• Track record of managing remediation actions collaboratively with business stakeholders ensuring timely resolution of compliance & conduct issues.
• Commitment to ongoing professional development demonstrated by active participation in training platforms or industry knowledge enhancement activities.

What sets MUFG apart:

MUFG stands out as one of the world’s most respected financial institutions thanks to its unwavering commitment towards ethical standards robust governance frameworks—and genuine investment in employee wellbeing. The London office offers an inclusive environment where diversity is celebrated collaboration is encouraged—and every individual’s contribution is valued regardless of background or experience level. Flexible working arrangements allow you greater control over work-life balance while generous pension contributions provide long-term security beyond immediate remuneration packages. Training opportunities abound empowering employees at all levels—from junior analysts right up through senior leadership—to continually enhance their skills stay abreast of regulatory changes—and pursue personal/professional growth without limitation. Supportive leadership ensures that everyone feels connected responsible—and motivated towards achieving shared goals together rather than individually; this communal spirit permeates every aspect of daily life at MUFG making it an ideal place for those who value teamwork dependability—and mutual respect above all else.

What's next:

If you are ready to make a meaningful impact within a globally respected organisation while advancing your own career apply now!

Apply today by clicking on the link provided.

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.