Regulatory Ops - Equity

Employment Type

: Full-Time


: Miscellaneous

Regulatory Ops - Equity * Requisition # 35287 * Job Type Day * Location New York, NEW YORK * Date Posted 12/07/2020 Your potential. Your opportunity. Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world (as ranked by S&P Global, April 2020).In the Americas, we're 13,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, developing positive relationships built on integrity and respect. It's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. We're a team that accepts responsibility for the future by asking the tough questions and owning the solutions. Join MUFG and be empowered to make your voice heard and your actions count. Mitsubishi UFJ Financial Group (MUFG) is one of the world's leading financial groups with total assets of approximately $2.6 trillion*. MUFG is headquartered in Tokyo and has a global network that includes 2,200 offices in about 50 countries. With over 140,000 employees, MUFG provides access to commercial banking, trust banking, securities, credit cards, consumer banking and finance, asset management, leasing, and other services. One name is all you need to know to access our corporate and investment banking and securities services. MUFG's operating companies include Bank of Tokyo-Mitsubishi UFJ, Mitsubishi UFJ Trust and Banking Corporation and Mitsubishi UFJ Securities Holdings Co., Ltd. With each member of the group working in partnership with one another, MUFG provides best in class service and products to corporate and institutional clients. MUFG Securities offers a comprehensive product suite to clients around the world through five key business lines in the primary and secondary markets: capital markets, credit, rates, equities, and structured products. In the primary market, the Capital Markets Group originates and underwrites debt and equity financing transactions through the business' global platform. The Structured Products team provides primary asset-backed securities and collateralized loan obligation services. With market experience across the globe, the trading desks, sales teams, and research analysts support institutional clients with the distribution of primary products and trade execution. The business offers trading capabilities in credit, investment grade, and high yield; rates, U.S. treasuries, and derivatives; and equities, convertibles, and structured products. Due to the diverse nature of our business we require a clear unifying vision for all of our people. It is this vision and our corporate values that reflect who we are and guide how we behave. We therefore strive to recruit individuals who share our vision and values, and who have the motivation and commitment to help us move our business forward. The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified. Main purpose of the role : The Reg Ops Associate will be responsible for providing support for the Firm's Transaction Regulatory Reporting. This person will be engage with the Firms Regulatory obligations specifically with transaction reporting , including and not limited to CAT, OATS, 606, ACT/TRF, 10b-10 confirm and Blue Sheet (EBS). The individual requires in-depth expertise of these types of regulatory reporting and their designated SRO's. Additionally, individual requires extensive background of Equity trade flow from the time of executions to settlement. Key responsibilities: * Monitor CAT and OATS reporting for any rejects or unmatched transactions via FINRA Gateway access. * Manually report to CAT and OATS via FINRA Gateway in case of system failure. * Execute Qualified Special Representative Agreement and AGU agreement * Assist Traders/Compliance with ACT/ORF reporting issues. * Manually trade report via ACT/ORF terminals in case of system failure. * Standardizing complex transactions to enable solidified downstream processing for appropriate reporting. * Interface with Business, Technology, and Compliance to integrate Regulatory Reporting structures for all Equity products. * Assess and implement new Regulatory Reporting requirements as well changes to existing requirements. * Assist Compliance and Business in completing inquiries from Market Regulation Department of FINRA and SEC. * Provide complete, accurate and timely Blue Sheet data to satisfy EBS regulatory requests. * Perform annual review of current Blue Sheet processes and procedures. * Execute appropriate governance and control to mitigate regulatory and operational risks. Product knowledge: * Common and Preffered Stocks * Listed and OTC Options * ETF's * ADR's We are proud to be an Equal Opportunity/Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category. A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

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