Associate - Global Markets Risk and Controls

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.

Purpose of the Role:

The Assistant Vice President (AVP) will play an important role within the Global Markets Risk and Controls – Regulatory Risk and Surveillance team, helping the business identify, manage, and mitigate regulatory risk across securities, swaps and derivatives products.

Key Responsibilities:

• Partner directly with the Global Markets business to help identify, monitor, and mitigate regulatory risk
• Serve as a point of contact for Front Office stakeholders by responding to trading desk inquiries, investigating regulatory exceptions, and clearly communicating findings and recommendations.
• Design, enhance, and execute processes and controls that help prevent, detect, and remediate potential regulatory issues of non-compliance
  • Help shape practical corrective action plans and remediation strategies for identified issues.
  • Contribute to high-impact regulatory projects and initiatives across Global Markets, including new business initiatives, regulatory change implementation, and related technology enhancements.
  • Drive execution by developing project and action plans, coordinating across stakeholders, providing clear status updates, and supporting user acceptance testing (UAT) for system enhancements.
• Participate in industry calls and forums, including ISDA and similar groups, preparing concise, actionable notes for internal stakeholders.

Qualifications and Skills:

• Bachelor’s degree in Finance, Economics, Business, or a related field.
• 3–5+ years of experience in banking, financial services, or external consulting supporting financial services clients, ideally in a role involving Markets, controls, regulatory risk, or change initiatives.
• Strong proficiency in Microsoft Excel, PowerPoint, and related productivity tools.
• Working knowledge of Foreign Exchange and Interest Rate Derivatives products, as well as Sales and Trading functions.
• Experience with derivatives-related banking regulations preferred.
• Excellent written and verbal communication skills, with the ability to translate complex regulatory topics into clear, practical guidance for business and control stakeholders.

The typical base pay range for this role is between $94K and $142K

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

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.