Legal Regulatory Advisor - Global Markets

About the role

The Americas Legal Department is seeking an entry-level to mid-level attorney to provide legal and regulatory advisory support to MUFG's Global Markets businesses.

Responsibilities

• Liaise with and advise internal stakeholders from Sales, Trading, Compliance, Operations and other Risk Management functions
• Liaise with external counsel and manage external counsel engagements to ensure efficient and cost-effective legal advice is provided to MUFG stakeholders
• Draft and edit regulatory communications as needed
• Provide general support to other members of the legal team who may require assistance with the investigation or analysis of 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
• Advises and updates internal stakeholders impacted by regulatory advocacy efforts of relevant trade groups such as IIB and SIFMA
• Participates and helps support Americas Legal Department initiatives to improve operations and efficiency and vet and implement new technology solutions to improve the effectiveness of the department
• Affords assistance with ad hoc projects

Requirements

• Relevant experience and a strong understanding of SEC, CFTC, FINRA and NFA rules
• Familiarity with entity and transaction level rules and requirements, and how those requirements are applied extra-territorially within a substituted compliance regime
• Good communicator who works well with others and can manage sometimes conflicting perspectives in the furtherance of legal risk management and optimized business flow
• Solid technical and organizational skills and adeptness with using the MS Office suite of products and electronic document management

Qualifications

• 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
• An 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

Skills

• Excellent interpersonal communication skills and the ability to forge good relationships with internal and external stakeholders
• An ability to manage large workloads and tight deadlines
• To work collaboratively on group projects and independently on individual assignments
• Excellent attention to detail and accuracy
• Strong analytical and problem-solving skills
• A flexible, pragmatic and professional approach to work
• Strong organizational skills

Pay

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.

Benefits

MUFG offers a competitive benefits package, including 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.