OverviewMUFG is seeking a Director to lead the U.S. Broker-Dealer Regulatory Affairs & Registrations function. This role exists to provide enterprise leadership, governance, and strategic oversight of the firm's regulatory affairs, regulatory reporting, licensing, and registration programs, ensuring the organization maintains a strong regulatory posture and a sustainable control environment. The role is accountable for establishing and maintaining a consistent framework for regulatory engagement, supervisory interactions, regulatory reporting, and registration governance that supports business growth while meeting the expectations of FINRA, the SEC, the NFA, and other applicable regulators.
Operating within the Compliance function and the Three Lines of Defense framework, the role serves as a trusted advisor to senior leadership and is responsible for driving regulatory readiness, enhancing governance practices, and promoting a culture of accountability, transparency, and continuous improvement across the U.S. broker-dealer environment.
Key ResponsibilitiesRegulatory Affairs & Regulatory Engagement- Accountable for the enterprise strategy and governance framework governing regulatory engagement across the U.S. broker-dealer, ensuring consistent, proactive, and effective interactions with FINRA, the SEC, the NFA, and other regulatory authorities.
- Provide leadership and oversight for regulatory examinations, inquiries, sweeps, and supervisory interactions, ensuring timely and effective management of regulatory matters and associated risks.
- Establish standards and governance processes for regulatory communications, submissions, and responses to ensure consistency, quality, and appropriate executive oversight.
- Advise senior management on regulatory developments, examination priorities, and emerging supervisory expectations, translating regulatory requirements into actionable business and compliance strategies.
- Lead the firm's regulatory reporting governance program, including oversight of FINRA Rule 4530 reporting and the FINRA Rule 3130 Annual CEO Certification process, ensuring complete, accurate, and timely execution.
- Represent the firm in industry forums, regulatory working groups, and external engagements, leveraging industry developments and regulatory insights to strengthen the control environment.
Registrations & Licensing Governance- Provide enterprise leadership for the broker-dealer licensing and registration framework, ensuring a well-controlled and sustainable program supporting both registered personnel and regulated legal entities.
- Establish governance standards and controls governing registration requirements, regulatory filings, disclosures, continuing education obligations, and registration data management.
- Drive consistent interpretation and application of regulatory registration requirements across business activities, personnel changes, organizational structures, and strategic initiatives.
- Provide executive oversight of complex registration, licensing, and disclosure matters, including issues requiring regulatory interpretation or escalation.
- Ensure adherence to broker-dealer membership requirements and applicable SEC, FINRA, and NFA obligations through robust governance and monitoring processes.
Risk Management & Governance- Establish and maintain the governance framework supporting Regulatory Affairs and Registration activities, ensuring effective controls, defined accountabilities, and sustainable processes.
- Drive ongoing assessment of regulatory and operational risks, identifying emerging issues, control gaps, and opportunities for enhancement.
- Ensure management information, metrics, and reporting provide meaningful insights to support executive decision-making and governance oversight.
- Lead remediation efforts for regulatory findings, audit observations, and process deficiencies, ensuring sustainable corrective actions and continuous improvement.
Transformation & Strategic Initiatives- Drive modernization of regulatory affairs and registration processes through standardization, automation, improved data governance, and enhanced reporting capabilities.
- Lead strategic initiatives that strengthen operational resilience, regulatory readiness, and scalability of the Regulatory Affairs & Registrations function.
- Partner across Compliance, Legal, Risk, Operations, Technology, and Human Resources to deliver enterprise-wide solutions to evolving regulatory requirements.
Leadership & Organizational Effectiveness- Provide leadership for the Regulatory Affairs & Registrations function, establishing strategic priorities aligned with regulatory expectations and business objectives.
- Build organizational capability through talent development, coaching, succession planning, and performance management.
- Foster a culture of accountability, regulatory excellence, transparency, and continuous improvement.
- Develop and retain a high-performing team with strong technical expertise and leadership capabilities.
- Influence and collaborate across a matrixed organization to drive effective decision-making, risk management, and execution of strategic priorities.
- Promote an environment that encourages challenge, escalation, learning, and continuous professional development.
Requirements- Bachelor's degree or equivalent experience.
- Significant experience within U.S. broker-dealer Compliance, Regulatory Affairs, Registrations, or Regulatory Risk functions.
- Deep knowledge of FINRA, SEC, and NFA regulatory frameworks and broker-dealer supervisory expectations.
- Demonstrated experience leading regulatory examinations, regulatory reporting programs, and supervisory interactions.
- Experience leading teams and managing complex regulatory, operational, and governance initiatives.
- Strong executive communication, stakeholder management, and influencing capabilities.
Preferred- Advanced degree (e.g., JD, MBA, Master's degree).
- FINRA Series 7, Series 24, Series 14, or comparable regulatory licensing.
- Experience operating within a large, global, matrixed financial institution.
Functional Skills- Expertise in U.S. broker-dealer regulatory frameworks, regulatory reporting, and registration governance.
- Strong understanding of FINRA Rules 4530 and 3130, registration requirements, and supervisory control environments.
- Experience designing and enhancing governance frameworks and control programs.
- Ability to assess regulatory risk, challenge existing processes, and drive sustainable improvements.
- Strong program management, analytical, and problem-solving capabilities.
Leadership Competencies- Strategic leadership and enterprise thinking.
- Executive presence and influence.
- Strong regulatory and risk management acumen.
- Governance and oversight excellence.
- Talent development and succession planning.
- Cross-functional collaboration and stakeholder management.
- Change leadership and continuous improvement.
- Integrity, accountability, and sound judgment.
The typical base pay range for this role is between $185,000 - $242,000 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
