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MUFG · 3 months ago

Regulatory Operations Associate

New York, NY

Full-time

Hybrid

New Grad, Entry Level

$90K/yr - $137K/yr

Mitsubishi UFJ Financial Group (MUFG) is one of the world’s leading financial groups with a commitment to making a meaningful impact. The Regulatory Operations Associate will play a critical role in supporting daily business activities within regulatory operations, focusing on exception management and compliance with FINRA reporting requirements.

Responsibilities

Ideal candidate will demonstrate a strong understanding of equity related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606

Primary responsibilities will be to monitor CAT and CAIS reporting for any rejects, linkage, or inconsistency errors, and to investigate and remediate as necessary

Perform daily reconciliations for CAT, CAIS, CAT vs 606, and equity reporting (ORF/TRF) through the firm’s exception management and monitoring software, nTier

Candidate should possess strong analytical skills, ability to identify key issues impacting regulatory reporting and effectively communicate issues to the team and management ensuring regulatory obligations are met

Execute appropriate governance and controls to mitigate regulatory and operational risks

Ability to work independently as well as be team player supporting a positive and collaborative work environment

Interface with the business, technology, and compliance on an ongoing basis for all equity product initiatives. Assessing and implementing reporting enhancements to support the businesses’ growth

Participate with the implementation of new transactional regulatory reporting requirements. Working closely with the project team to analyze requirements, create test scripts, and validate the results

Assist Compliance with completing inquiries from Market Regulation Department of FINRA and SEC

Provide complete, accurate and timely Blue Sheet data to satisfy EBS regulatory requests

Qualification

Regulatory reportingException managementAnalytical skillsNTier softwareBroadridge productsGovernanceControlsTeam playerCommunication skills

Required

Strong understanding of equity related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606

Ability to monitor CAT and CAIS reporting for any rejects, linkage, or inconsistency errors, and to investigate and remediate as necessary

Experience performing daily reconciliations for CAT, CAIS, CAT vs 606, and equity reporting (ORF/TRF) through the firm's exception management and monitoring software, nTier

Strong analytical skills, ability to identify key issues impacting regulatory reporting and effectively communicate issues to the team and management ensuring regulatory obligations are met

Ability to execute appropriate governance and controls to mitigate regulatory and operational risks

Ability to work independently as well as be a team player supporting a positive and collaborative work environment

Ability to interface with the business, technology, and compliance on an ongoing basis for all equity product initiatives

Participation with the implementation of new transactional regulatory reporting requirements

Ability to work closely with the project team to analyze requirements, create test scripts, and validate the results

Ability to assist Compliance with completing inquiries from Market Regulation Department of FINRA and SEC

Ability to provide complete, accurate and timely Blue Sheet data to satisfy EBS regulatory requests