Director, U.S. Broker-Dealer Regulatory Affairs & Registrations – Regulatory Affairs & Registrations

Job Description

Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer) | Mitsubishi UFJ Financial Group

The Tone:
This is a full-time hybrid role at Mitsubishi UFJ Financial Group, located in New York, USA. MUFG is a leading global financial group striving to make a difference for clients, organizations, and communities by fostering shared and sustainable growth. This role is crucial for providing enterprise leadership, governance, and strategic oversight to ensure the firm maintains a strong regulatory posture and sustainable control environment within its U.S. broker-dealer operations. The selected individual will drive regulatory readiness, enhance governance practices, and promote a culture of accountability and continuous improvement.

The TL;DR
• Role: Full Time
• Type: Hybrid (four days in-office, one day remote)
• Location: Hybrid, New York, USA
• Pay: $185000–$242000 yearly
• Team: Within the Compliance function and the Three Lines of Defense framework
• Mission: Establish and maintain a consistent framework for regulatory engagement, supervisory interactions, regulatory reporting, and registration governance that supports business growth while meeting the expectations of applicable regulators.

What You’ll Actually Do
• Regulatory Affairs Strategy: Accountable for the enterprise strategy and governance framework governing regulatory engagement across the U.S. broker-dealer, ensuring consistent and proactive interactions with regulatory authorities.
• Regulatory Engagement Leadership: Lead and oversee regulatory examinations, inquiries, sweeps, and supervisory interactions, ensuring timely and effective management of regulatory matters and associated risks.
• Registrations & Licensing Governance: Provide enterprise leadership for the broker-dealer licensing and registration framework, establishing governance standards and controls for personnel and legal entities.
• Risk Management & Control: Establish and maintain the governance framework for Regulatory Affairs and Registration activities, driving ongoing assessment of regulatory and operational risks and leading remediation efforts.
• Transformation & Strategic Initiatives: Drive modernization of regulatory affairs and registration processes through standardization, automation, improved data governance, and enhanced reporting capabilities.

The Must-Haves
• Background: Bachelor’s degree or equivalent experience with significant experience within U.S. broker-dealer Compliance, Regulatory Affairs, Registrations, or Regulatory Risk functions at a Director level.
• Experience: Demonstrated experience leading regulatory examinations, regulatory reporting programs, and supervisory interactions; proven ability to lead teams and manage complex regulatory, operational, and governance initiatives.
• Skills: Deep knowledge of FINRA, SEC, and NFA regulatory frameworks; expertise in U.S. broker-dealer regulatory frameworks, regulatory reporting, and registration governance, including FINRA Rules 4530 and 3130; strong executive communication, stakeholder management, and influencing capabilities; ability to assess regulatory risk, challenge existing processes, and drive sustainable improvements.
• Bonus: 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.