Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer)

About this role

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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

Overview

MUFG is seeking a Director to lead the U.S. Broker-Dealer Regulatory Affairs & Registrations function. This role exists to provide enterprise leadership, governance, and strategic oversight of the firm's regulatory affairs, regulatory reporting, licensing, and registration programs, ensuring the organization maintains a strong regulatory posture and a sustainable control environment. The role is accountable for establishing and maintaining a consistent framework for regulatory engagement, supervisory interactions, regulatory reporting, and registration governance that supports business growth while meeting the expectations of FINRA, the SEC, the NFA, and other applicable regulators. Operating within the Compliance function and the Three Lines of Defense framework, the role serves as a trusted advisor to senior leadership and is responsible for driving regulatory readiness, enhancing governance practices, and promoting a culture of accountability, transparency, and continuous improvement across the U.S. broker-dealer environment.

Key Responsibilities Regulatory Affairs & Regulatory Engagement • Accountable for the enterprise strategy and governance framework governing regulatory engagement across the U.S. broker-dealer, ensuring consistent, proactive, and effective interactions with FINRA, the SEC, the NFA, and other regulatory authorities. • Provide leadership and oversight for regulatory examinations, inquiries, sweeps, and supervisory interactions, ensuring timely and effective management of regulatory matters and associated risks. • Establish standards and governance processes for regulatory communications, submissions, and responses to ensure consistency, quality, and appropriate executive oversight. • Advise senior management on regulatory developments, examination priorities, and emerging supervisory expectations, translating regulatory requirements into actionable business and compliance strategies. • Lead the firm's regulatory reporting governance program, including oversight of FINRA Rule 4530 reporting and the FINRA Rule 3130 Annual CEO Certification process, ensuring complete, accurate, and timely execution. • Represent the firm in industry forums, regulatory working groups, and external engagements, leveraging industry developments and regulatory insights to strengthen the control environment.

Registrations & Licensing Governance • Provide enterprise leadership for the broker-dealer licensing and registration framework, ensuring a well-controlled and sustainable program supporting both registered personnel and regulated legal entities. • Establish governance standards and controls governing registration requirements, regulatory filings, disclosures, continuing education obligations, and registration data management. • Drive consistent interpretation and application of regulatory registration requirements across business activities, personnel changes, organizational structures, and strategic initiatives. • Provide executive oversight of complex registration, licensing, and disclosure matters, including issues requiring regulatory interpretation or escalation. • Ensure adherence to broker-dealer membership requirements and applicable SEC, FINRA, and NFA obligations through robust governance and monitoring processes.

Risk Management & Governance • Establish and maintain the governance framework supporting Regulatory Affairs and Registration activities, ensuring effective controls, defined accountabilities, and sustainable processes. • Drive ongoing assessment of regulatory and operational risks, identifying emerging issues, control gaps, and opportunities for enhancement. • Ensure management information, metrics, and reporting provide meaningful insights to support executive decision-making and governance oversight. • Lead remediation efforts for regulatory findings, audit observations, and process deficiencies, ensuring sustainable corrective actions and continuous improvement.

Transformation & Strategic Initiatives • Drive modernization of regulatory affairs and registration processes through standardization, automation, improved data governance, and enhanced reporting capabilities. • Lead strategic initiatives that strengthen operational resilience, regulatory readiness, and scalability of the Regulatory Affairs & Registrations function. • Partner across Compliance, Legal, Risk, Operations, Technology, and Human Resources to deliver enterprise-wide solutions to evolving regulatory requirements.

Leadership & Organizational Effectiveness • Provide leadership for the Regulatory Affairs & Registrations function, establishing strategic priorities aligned with regulatory expectations and business objectives. • Build organizational capability through talent development, coaching, succession planning, and performance management. • Foster a culture of accountability, regulatory excellence, transparency, and continuous improvement. • Develop and retain a high-performing team with strong t

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