Regulatory Operations Associate

Mitsubishi UFJ Financial Group

New York, NY, United States
Base: $90k - $137k; bonus/equity: discretionary pe...
Fully remote
Transactional regulatory reporting experience
Exception management and correction report submissions
Knowledge of finra reporting facilities
The individual will play a critical role within regulatory operations to support daily business activities including exception management and correction report submissions to FINRA

Job Summary

  • The individual will play a critical role within regulatory operations to support daily business activities including exception management and correction report submissions to FINRA.
  • The role offers a competitive salary range between $90K - $137K with potential discretionary bonuses and a comprehensive benefits package including health, retirement, and paid leave.
  • MUFG is committed to diversity and equal opportunity employment and supports a culture of innovation, collaboration, and sustainable growth.

Matching Summary

The individual will play a critical role within regulatory operations to support daily business activities including exception management and correction report submissions to FINRA.

Salary

Base: $90K - $137K; Bonus/Equity: Discretionary performance-based bonus and/or incentive compensation; Benefits: Comprehensive health, retirement, educational assistance, paid leave

Skills & Requirements

Must-have

  • Transactional regulatory reporting experience
  • Exception management and correction report submissions
  • Knowledge of FINRA reporting facilities
  • Strong organizational skills
  • Cross-functional team collaboration
  • Analytical skills for regulatory reporting
  • Governance and controls execution

Nice-to-have

  • Proactive mindset for issue spotting
  • Ability to work independently and in teams
  • Experience with Microsoft suite and Bloomberg
  • Experience with Broadridge systems
  • Experience with nTier software
  • Supportive and collaborative work environment

Key Requirements

  • 3+ years transactional regulatory reporting experience
  • Understanding of equity and fixed income regulatory obligations
  • Experience with CAT, CAIS, ORF, TRF, Rule 605/606, TRACE
  • Experience with Microsoft, Bloomberg, Broadridge systems
  • Ability to manage multiple priorities accurately
  • Experience supporting compliance inquiries from FINRA and SEC

Work Rights

Not specified

Tailored Resume

Cover Letter