MUFG
Director EMEA Compliance Control Room Manager
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Director EMEA Compliance Control Room Manager
Director EMEA – Compliance Control Room Manager
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. We unite 150,000 colleagues across the globe, striving to make a meaningful impact for every client, organisation, and community we serve. Our mission is rooted in our core values:
- Building long-term relationships
- Serving society
- Fostering shared, sustainable growth
MUFG’s vision is to become the world’s most trusted financial group. Our culture thrives on valuing people, embracing diversity, and driving innovation with agility. We empower you to own your career—explore cutting-edge technologies and tools that set us apart.
Join a team where inspiration, independence, and innovation aren’t just encouraged—they’re rewarded. MUFG stands ready to guide you in making a meaningful impact while nurturing your professional journey, today and tomorrow..
About the Role
MUFG, a globally respected and long-established financial group, is seeking a Director EMEA – Compliance Control Room Manager based in London. This high-visibility role places you at the heart of regulatory compliance for both MUFG Bank and MUFG Securities EMEA plc, offering:
- Direct exposure to senior leadership and the privilege to shape EMEA’s compliance landscape.
- Professional growth opportunities within a global network of 150,000+ employees spanning over three centuries.
You’ll thrive in a culture that esteems integrity, transparency, and responsibility. Your work will anchor robust legal, regulatory, and policy frameworks, reinforcing MUFG’s commitment to being a trusted global financial partner. This role carries profound influence, enabling you to collaborate with high-level teams across jurisdictions. Join a globally renowned compliance team in London, where a fair, transparent, and success-driven culture fosters professional development, teamwork, and responsible decision-making.
Take on an inspiring leadership position:
Overview of Daily Responsibilites:
- Manage coordination activities of the Compliance Control Room (CCR) function supporting both MUFG Bank (UK Limited) KCAT and MUFG Securities EMEA (hereafter MUK).
- Reports into the Regional Head of Advisory based in Tokyo. This role involves direct reporting into the EMEA Heads of Compliance and the Global Head of Compliance Control Room based in the US.
- Act as the primary point of contact in London for the CCR team’s compliance and advisory matters across the EMEA region.
Take on a variety of critical compliance tasks:
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Leadership of EMEA Control Room Operations:
- Oversee the development and implementation of comprehensive frameworks for managing Conflicts of Interest, Insider List, Watch List, MNPI (Material Non-Public Information), Wall Crossing, Treeing, and Restricted Lists across all EMEA business lines.
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Regulatory Compliance and Risk Mitigation:
- Become the expert advisor on regulatory compliance matters, including capital markets products, MAR (Market Abuse Regulation), and MiFID II.
- Draft and update internal policies and procedures to keep pace with evolving regulations and organisational needs.
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Strategic Policy and Training Initiatives:
- Champion knowledge training and resource sharing for front office teams.
- Provide advisory support, guidance, and constructive challenge on compliance matters with a preregulatory compliance evaluation focus on risk identification, escalation protocols, and issue resolution.
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Cross-Ommercial Collaboration:
- Serve as the key communication hub between internal teams, external regulators, and third-party vendors.
- Collaborate closely with Compliance, Operations, IT, and other departments.
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Team Management:
- Manage a team of 4 direct reports, with the goal of fostering professional growth and high performance under pressure.
- Challenge MUFG business units to act on concerns while delivering authoritative compliance advice, and escalations where necessary.
Responsibilities
As Director EMEA Compliance Control Room Manager at MUFG in London, your role will be instrumental in safeguarding organisational integrity through comprehensive leadership responsibilities:
Core Responsibilities:
- Lead all control room related activities across banking and securities, including coordinating and escalating relevant issues.
- Develop clear adherence to regulatory frameworks such as MAR, MiFID II, and other EMEA compliance requirements including ANPRV, CSSF, and others.
- Assent CC02’s compliance-related policies, procedures, data integrity, and internal controls within the CCR environment.
- Play a pivotal role in enforcement of conflict management training and culture, ensuring all Business Conduct is upheld.
- Publish and share audit findings and regulatory recommendations, proactively formulating strategies to address deficiencies.
- Collaborate with global teams to improve Control Room collaboration across borders, contributing to global Control Room policies and procedures.
- Guide employees in strategic compliance alignment and successes, enhancing both local and enterprise-wide knowledge.
Requirements
To thrive as Director EMEA – Compliance Control Room Manager, your background and skills should align with the profile below:
Essential Qualifications:
- Demonstrated 5+ years of progressive leadership experience, ideally commanding a supervisory or self-directed team in financial services or capital markets.
- Proven expertise in regulatory compliance settings, particularly Monitoring, Rating, Control Room functions, and Conflicts of Interest management.
- Strong operational knowledge of capital markets products, such as:
- Fixed Income, Equities, Derivatives, and other securities-enabling products.
- Deep in-depth knowledge of preregulatory bodies workflow, including MAR, MiFID II, treasury, settlements, finance and treasury settlements, etc.
- Completion of a university degree in Law, Business, Economics, or Financial Regulation.
- Strong leadership talents and a discretion under pressure, particularly in a confidential, confidential, and complex environment*.
- Exceptional communication abilities to coordinate, present insights to, and influence a variety of stakeholders.
Preferred Skills:
- Summer Advocacy roles or worker collaborator experience within UK-based compliance teams.
- Academic background or licenses relevant to ongoing regulatory roles such as:
- AMCs-AMF, CSA UK, or designated designations in market conduct.
- Demonstrated commitment to equality, diversity, and inclusion (EDI) principles.
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Key Competencies:
- Stakeholder Engagement: Calm demeanour, discretion in work-related information, and tact dealing with disputes across EMEA bureaucracies.
- Ultimate Tools Management: Balancing resources and market feedback to effectively challenge front-office processes and ensure compliance adherence.
- Operational Challenge: Ability to lead teams and identically challenge prioritises, resolving conflicts when necessary.
- Growth Mindset: Commitment to professional learning and development opportunities.
Working With Us
MUFG excels as one of the globe’s largest and most respected financial institutions, distinguished by three hundred years of stability, innovation, and client-centric service. Our values extend to financial and social responsibility, cultivated in a sprawling spectrum of sectors like:
- Commercial Banking, Asset Management, Securities Services, Consumer Finance, and Leasing.
Colleagues benefit from:
- Access to extensive resources.
- Profound development programs.
- Cross-border collaboration opportunities.
- A workplace culture prioritising integrity, fairness, and mutual respect.
At MUFG, teams are motivated to stretch their capabilities—taking initiatives knowing their contributions matter. MUFG nurtures growth within a global network committed to building lasting relationships, shared prosperity and achieving sustainable growth for clients and communities. In our London office hub, you’ll connect with colleagues worldwide, united by our integrally focused values place trust at the heart of everything.
Culture Principles
Our Culture Principles embody what drives us:
- Client Centric — Targeted to meet clients’ evolving needs.
- People Focused — Empowering colleagues to grow and thrive.
- Listen Up. Speak Up. Innovate & Simplify — Encouraging diverse perspectives and actionable growth.
- Own & Execute — Delivering results with precision and accountability.
Join a team passionate about exceptional service, ensuring distinctive value through integrity and accountability.
Equality, Diversity and Inclusion
At MUFG, we’re deeply committed to fairness, diversity, and inclusion, actively advancing a workplace that recognises every individual’s unique skills. We celebrate differences in many forms, ensuring the richness of our global community drives innovation and growth.
We stand against discrimination on any basis, including but not limited to age, sex, gender, sexual orientation, religion, or disability.
Be a part of a team dedicated to equity and collaborative success—come explore how you can contribute at your highest.
What's Next
Let your enthusiasm for professional growth and impactful leadership lead you here. This is your chance to:
- Advance your career in compliance, anchoring a pivotal role in London’s most influential financial group.
- Provokers referendum-precision of empowering leaders who take responsibility and amplify trust in the industry.
Don’t wait to take your first step with MUFG.
Next Steps:
Apply today via the provided link. Spaces for consideration are always important, and we maintain our commitment to considering flexible working policies where possible.
For inquiries, we’d be happy to provide additional guidance. Join us in crafting a structured future committed to integrity and shared success.
Let’s realise your potential—apply now!
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