Vice President, Core Compliance

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.

Would you like to work for one of the World's largest banks in an exciting, dynamic and international environment?   

We are currently recruiting for a VP, Core Compliance in Frankfurt.  

About MUFG 

Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with over 360 years of history, MUFG has a global network with approximately 2,000 locations in more than 40 countries. The Group has about 120,000 employees and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. The Group aims to “be the world’s most trusted financial group” through close collaboration among our operating companies and flexibly respond to all of the financial needs of our customers, serving society, and fostering shared and sustainable growth for a better world. MUFG’s shares trade on the Tokyo, Nagoya, and New York stock exchanges. For more information, visit https://www.mufg.jp/english 

About MUFG in the European Economic Area 

MUFG clients located in the European Economic Area (EEA) access services through the fully licensed MUFG Bank (Europe) N.V. as well as MUFG Securities (Europe) N.V. 

About MUFG Bank (Europe) N.V. 

MUFG Bank (Europe) N.V. (MBE) is a fully-owned subsidiary of MUFG Bank. With offices throughout Europe, our teams provide clients with comprehensive financing solutions spanning Coverage & Structured Finance, Capital Markets and Transaction Banking, using MUFG’s global reach to provide bespoke solutions. With 73 green, sustainability, sustainability-linked and transition bond tranches in 2021 and 51 sustainability-linked loans in EMEA in 2021, MUFG is committed to supporting clients to achieve sustainable business growth. 

Please visit our website for more information – https://www.mufgemea.com/mbe 

Overall Purpose of the Job

This role includes participation, leading and supporting of the implementation of initiatives of Core Compliance function. The role includes advice and support in the area of Core Compliance, with a special attention to national requirements in Germany. The role cooperates closely with the Data Protection Officer (DPO), taking responsibility for data protection activities in Germany and supporting DPO in wider tasks.

The role includes the following 

• Provide specialist advice and guidance to the business areas and the MBE Compliance team

• Support the design, implementation and execution of compliance assurance activities

• Promote staff awareness in Compliance matters

• Collaboration in the drafting of policies and procedures and their review from a national perspective

• Operational activities such as PAD (including disclosures) and OBI review, approval and administration

• Training reviews from a national perspective

• (Support) Training administration and completion

• Audit administration and support (SOX, WpHG)

• MI reporting

• Annual certification administration

• Close cooperation as a team member of SMEs for Core Compliance on further activities MBE-wide

Laws and regulations

• Monitoring, review and impact assessment of laws and regulations from a national perspective including their related administration

• Close cooperation as a team member of SMEs for Core Compliance on laws and regulations MBE wide

Data Protection

• Local Contact person for data protection and data security matters

• Close cooperation as a team with the Data Protection Officer (DPO) and external consultants, if any, MBE-wide on data protection and data security matters, e. g. policies, procedures, DPIAs, ROPAs, trainings

• Provision of advice to data protection inquiries and data security

• Preparation of legally required documents to fulfil the obligation to provide information upon inquiry, e. g. lit of processing activities and other data processing documents

In order to be successful in the role, you will need the following: 

• Academic background, preferably law, business law or business administration

• Significant experience in banking (8-10 years) and knowledge of MiFID II, MAR, GDPR, Public-side advisory, Competition Law, corporate and investment banking products

• Several years of work experience in compliance, in particular in Capital Markets (WpHG) Compliance

• Knowledge of key relevant legal including regulatory/statutory requirements

• Experience in GDPR

• Experience in non-financial crimes Compliance frameworks, activities and processes

• Problem solving and analytical skills

• Ability to communicate clearly and confidently; able to influence internal and external stakeholders.

• Excellent command of written and spoken German and English

Personal requirements:  

Integrity and Responsibility  

• Balance Risk with Opportunity 

• Customer Focus 

• Demonstrate Global Perspective 

Professionalism and Teamwork 

• Drive For Results 

• Collaborate and Build Partnerships 

• Communicate Effectively and Professionally 

Challenge Ourselves To Grow 

• Influence and Inspire Others 

• Lead Change & Seek Continuous Improvement 

• Think Strategically 

• Manage and Develop Talent 

What do we have to offer: 

We offer you a role in one of the largest banks of the world in a growing and international environment.  You have various opportunities to develop yourself and we will support you with that by offering various training and development possibilities.

• Gross salary based on experience and consistent with the market including bonus payment 

• Employer contribution to a pension programme (BVV) 

• Contribution to capital forming benefits (“Vermögenswirksame Leistungen”) 

• Sponsorship of a job ticket to fifty percent 

• Lunch allowance 

• Flextime to support your personal work-life-balance (“Gleitzeit”) 

• Further training and educational programs, e.g. language courses 

• Corporate benefits 

• To work in an ambitious, international environment with colleagues from different countries and cultures, who strive for the best 

Additional information: 

Acquisition in response to this vacancy is not appreciated. 

The role is based in Frankfurt. All candidates need to be willing to relocate to Frankfurt. Internal employees will be supported in case of relocation. 

For more information regarding this position you can contact our Talent Acquisition Specialist at: [email protected]

We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.