Legal Regulatory Advisor – Vice President – Global Markets

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 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.