Legal Regulatory Advisor - Global Markets

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.

Legal Regulatory Advisor – Vice President – Global Markets

 Job Summary:

The Americas Legal Department is looking for a motivated entry to mid-level attorney to provide legal and regulatory guidance to MUFG’s Global Markets securities and derivatives businesses conducted through its regulated broker dealer and swap dealer entities.  A strong understanding of SEC, CFTC, FINRA and NFA rules are essential.  You will collaborate with Legal, Compliance, Risk and business teams in Global Markets to ensure regulatory and commercial obligations are satisfied, and legal and regulatory risk understood and managed.  The ideal candidate will be familiar with sales, trading, capital markets, research distribution and business conduct rules relevant to a diverse institutional client base. The candidate will be a good communicator who works well with others and can manage sometimes conflicting perspectives.  The candidate should also have solid technical and organizational skills and be adept with using the MS Office suite of products and electronic document management tools.

Major Responsibilities: 

•      Provide advice to ensure regulated broker dealer and swap dealer businesses comply with legal and regulatory requirements

•      Advise internal stakeholders on legal and regulatory risk management functions that impact their business units (Sales, Trading, Capital Markets, Research, Compliance, Operations and Finance). 

•      Liaise with external counsel and manage external counsel engagements to ensure efficient and cost-effective legal advice is provided to MUFG stakeholders

•      Draft and negotiate agreements and regulatory communications

•      Develop knowledge of securities and derivatives regulation globally to support MUFG’s broad regulatory portfolio

•      Provide general support to other members of the legal team who may require regulatory advice and counsel (internal investigations, contract analysis, litigation, employee and other legal or regulatory matters that concern Global Markets activities and personnel

•      Participate and advise on business initiatives and regulatory change projects, including impact assessments, legal research, policy and control development and implementation

•      Advise and update internal stakeholders impacted by regulatory advocacy efforts of relevant trade groups such as IIB and SIFMA

•      Participate in and advise internal working groups, management committees and governance working groups and forums where legal representation is requested or required

•      Participate and help support Americas Legal Department initiatives to improve operations and efficiency and vet and implement new technology solutions to improve the effectiveness of the department

•      Assist with ad hoc projects

We Require:

• A JD degree and eligibility to practice in New York
• Knowledge of and practical experience of working in the sales, trading and investment banking businesses of a global organization and experience dealing with clients, counterparties and external legal counsel
• An ability to look at unfamiliar or new product areas and be able to identify and analyze the relevant regulatory issues
• Ability to demonstrate a high degree of commercial awareness and to make sound judgment calls in a fast-moving business environment, together with an ability to identify and manage legal, regulatory and contractual risk
• An ability to recognize problematic issues and to plan and execute strategies for addressing

Additional Skills:

• Excellent interpersonal communication skills and the ability to forge good relationships with internal and external stakeholders
• Ability to manage large workloads and tight deadlines
• Ability to work collaboratively on group projects and independently on individual assignments
• Excellent attention to detail and accuracy
• Strong analytical and problem-solving skills
• Flexible, pragmatic and professional approach to work
• Excellent organizational skills.

The typical base pay range for this role is between $170K - $220K depending on job-related knowledge, skills, experience, and location. This role may also be eligible for certain discretionary performance-based bonuses 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.