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Mitsubishi UFG

Global banking, trust, asset management, securities.

Trade Surveillance Assistant Vice President

Regulatory Compliance & EthicsPosted on Nov 10
Full-timeLondon, UKNo salary listedIn-person

About the Job

Requirements

  • Practical experience in a trade surveillance function within an investment banking environment is essential.
  • Proven experience conducting detailed market abuse enquiries and investigations across equities, fixed income instruments (credit/rates), FX markets, repos, and derivatives, including options, futures, swaps, and structured products.
  • In-depth knowledge of UK/EU Market Abuse Regulation (MAR), MiFID II requirements, and FCA regulatory expectations on market abuse surveillance programmes is mandatory.
  • A bachelor's degree in Finance, Economics, Business Administration, or a related field is required.
  • Excellent communication skills to articulate findings during investigations and collaborate effectively with colleagues across departments.
  • A results-driven approach and strong accountability to complete tasks in a timely manner and align work with compliance objectives.
  • Structured logical thinking and sound judgement to assess complex cases accurately, including cases requiring escalation or regulatory reporting.
  • Exceptional attention to detail and calmness under pressure to manage large workloads efficiently while maintaining accuracy.

Responsibilities

  • Review and investigate referrals from the offshore Level 1 surveillance team as a Level 2 Surveillance Officer, documenting and analysing relevant information to determine whether escalation is required.
  • Use Bloomberg, Reuters, order and trade booking platforms, risk management systems, and automated communication surveillance technologies to investigate alerts.
  • Collaborate with Level 1 and Level 2 teams to support high-quality end-to-end alert disposition processes and provide constructive feedback for training initiatives.
  • Assist with sample-based quality-control testing of Level 1 alert closures to assess adequacy, completeness, and robustness of conclusions.
  • Analyse alert patterns and escalation trends to identify emerging risks, behavioural anomalies, and potential market abuse in trading activity.
  • Support annual calibration and backtesting reviews by analysing results and recommending parameter changes to improve trade-surveillance effectiveness.
  • Update and maintain trade-surveillance alert procedures to reflect programme changes and regulatory developments.
  • Participate in developing, testing, deploying, and enhancing alert scenarios to improve surveillance operating efficiency.
  • Identify opportunities to integrate automation and AI to improve productivity, effectiveness, and efficiency across surveillance operations.
  • Build relationships with Front Office staff and Compliance teams to facilitate investigation evidence collection and support training on new products, platforms, and market-abuse risk typologies.

Desired Qualifications

  • Familiarity with surveillance systems and technologies, including optimisation techniques; proficiency with platforms such as KX or Nasdaq SMARTS is preferred.
  • Experience applying data analytics or automation methods to improve surveillance effectiveness is highly desirable.
  • An MBA or professional certifications such as CFA, CAMS, or ICA are advantageous.

About the Company

Mitsubishi UFG

Global banking, trust, asset management, securities.

MUFG is a large financial services group formed in 2005 by merging Mitsubishi Tokyo Financial Group and UFJ Holdings. It provides a wide range of services, including commercial banking, trust banking, securities, credit cards, and asset management, through a global network of banks, trust banks, securities firms, and asset management subsidiaries. Its products work by offering loans and deposits, investment products, payment services, and financial advisory to individuals, businesses, and institutions via branches, digital platforms, and partnerships. The company differentiates itself with its size and global reach, a diversified mix of financial offerings, and strategic international investments (notably the 2008 stake in Morgan Stanley) that expand its US and global presence. MUFG’s goal is to support economic growth worldwide by providing comprehensive financial solutions and pursuing sustainable finance and innovation.

Company size
10,001+
Company stage
IPO
Headquarters
Tokyo, Japan
Founded
2006

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