Director, Head Global Markets KYC

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.

Our Global Markets’ team delivers comprehensive solutions across Credit, FX, Rates, Equities, and Structured Products, leveraging MUFG’s global scale and financial strength. Operating seamlessly across major financial hubs - including New York, London, and Hong Kong - we combine deep product expertise, disciplined risk management, and real-time market insight to serve institutional and corporate clients. Through integrated trading, sales, and risk solutions, we provide liquidity, facilitate client execution, and design strategies that help navigate dynamic market conditions.

Global Corporate & Investment Banking ("GCIB") is the division responsible for managing the Bank's key international client relationships and main financing products (Syndication, Structured & Project Finance, Securitisation, Working Capital Solutions, ECA financing, , etc.).

FLoD KYC is set up to support MUFG Bank and Securities business to manage the client KYC for New Business and Periodic assessments thereby enhancing client experience and generating efficiencies. FLoD KYC function for Global Markets covers Onboarding, Periodic assessments , Quality Controls, Quality Assurance, Policy & Training along with AML and Shared services functions including BoW management, Screening etc.

This individual will work closely with the Head of FLoD KYC, deputising as required. The role will hold a high level of responsibility and exposure to senior management within MUFG Bank, as well as key stakeholders globally. As such strong strategic planning, effective stakeholder management, and the ability to influence at all levels are key. The individual will also be required to support the wider team, as required, on complex issues, volume/capacity management as well as being a key decision maker on KYC procedural / process aspects.

This individual will be a key representative and focal point within FLoD KYC team working closely with stakeholders to ensure MUFG understands all associated risks and maintaining the highest standards, whilst managing business needs. In depth understanding of related regulatory guidance is therefore essential, in addition to comprehension of business processes.

A key aspect to this role is the effective resource and capacity management, stakeholder management, and a drive to improve the on-boarding service and Turn around times provided to the prospect clients and the business.

ROLES, SCOPE and REPORTING STRUCTURE

The Head Global Markets (GM) KYC reports into:

• Head FLoD KYC EMEA & Head FLoD KYC Americas

Head Global Markets KYC  has direct oversight of appr. 4+ and indirect oversight of 30+ employees

KEY RESPONSIBILITIES

• Responsible for Team’s delivery: :Ensure that all client onboardings and Periodic assessments for Global Markets covering all Primary and Secondary relationships are managed effectively and within the targeted turn around times.  Make sure applicable “Know your Customer” requirements have been met and ensure that the business remained fully compliant with the AML policy and all applicable regulatory requirements
• End to End KYC : Role involves managing end to end process for both New Business and periodic assessments including Client Outreach, partnering with second line AML functions, SLA Management, MI, Restrictions/exits etc.
• Liaison for end to end onboarding and CLM Work closely with end to end onboarding / CLM teams and support teams within Tax, Credit, Legal, FCoE, FCoA and Data to ensure overall TAT is adhered to and enhance client onboarding experience within Securities across MUSE, MUSEU, MUS Asia, MUS Americas.
• Time criticality and Data sensitivity Able to manage highly time sensitive new business deals (Incl. Capital Markets , Sales & Trading) and deal effectively with MNPI data for potential new transactions
• Audit & Issues Management Role will be responsible to maintain a strong KYC control environment  for the firm with responsibility to resolve all issues within timelines managing the process effectively. As the head of GM KYC , the role is also responsible to ensure audit RFIs are responded to within the agreed timelines and the FLoD KYC function secures a satisfactory audit rating
• Capacity planning, Pipeline management and forecasting of volumes: Ensure capacity planning is undertaken and forecasting of volumes is conducted periodically to proactively manage capacity for volume spikes, triggers and expected business growth
• Senior Subject Matter Expert (SME) with hands on end to end KYC processing: Act as a senior SME within the KYC team in relation to all KYC aspects from processing to specific policy related queries management
• Escalation point for Business: Ensure all escalations from internal and external stakeholders are addressed promptly with response within the agreed TAT, ensuring compliance with AML policy and regulations
• Representing KYC Team & Stakeholder engagement: Represent the FLoD KYC Team on KYC matters to key stakeholders include management, compliance, regulators, and auditors where needed. Expectation for this role will be to establish strong stakeholder engagement across all Securities Primary and Secondary Desks and to present clear and concise information confidently at all levels
• Ownership of MI preparation for Onboarding: Responsible, alongside the Head of KYC and Lead Data/MI to create, develop, and publish a suite of Management information reports – both regular MI reporting and ad-hoc analysis as and when required. It is essential that the reports published are clear and are produced to a qualitative standard
• Training, Development & people management: Carry out people and performance management for Global Markets KYC Teams. Coach and mentor them onshore and offshore. Provide support to the Head of KYC and share responsibility for Training & Development including career pathing across KYC. May also be required to provide training to their respective business lines
• Owning Team Procedures and Processes: Responsible for ensuring that team procedures and processes are up to date, accurate and reflect all policy and regulatory change and kept UpToDate with standards
• Liaison with Compliance: Act as a Compliance Liaison function for related matter, meeting with Financial Crime on a regular basis, ensuring queries are resolved, ad-hoc analysis and reporting is completed.
• Liaison with Regulators : Act as a liaison on KYC matters with applicable regulators
• Active involvement in driving procedural and policy improvements: Actively seek out opportunities to improve the KYC process; including the strengthening & implementation of controls and improving efficiency.
• Budget & Cost : Manage costs for the Global Markets KYC team in collaboration with BM , Head FLoD KYC and in line with the offshoring strategy to be within the budget. Plan for effective cost control environment while creating process and productivity efficiencies

When there is a business requirement the role will also have to be flexible to provide support to the periodic reviews and remediation function for Bank and Securities

PROFESSIONAL EXPERIENCE & PERSONAL REQUIREMENTS

Skills and experience:

Functional / Technical Competencies:

Essential

• Awareness of US, UK & European Anti-Money Laundering regulations
• KYC SME with hands on experience in managing functional teams in end to end KYC within Securities/Markets domain
• Knowledge of various corporate structures Financial Institutions, Banks and NBFIs , Investment/ Fund Managers, Hedge Funds and Insurance entities
• Strong understanding and experience in managing teams involved in or supporting Trade Lifecycle activities and profound understanding of various asset classes
• Proven experience in managing global teams across jurisdictions in multiple time zones
• Demonstrated experience in driving Target Op model and delivering technology and change within KYC function
• Awareness of Markets Regulations ( FATCA/CRS, MIFID II, emir, SBSD, Volcker, FINRA, USA Patriot Act, Fincen, etc)
• Understanding of Global Markets business, client base and dynamics
• Able to communicate effectively to key stakeholders at all levels and drive positive outcomes
• Experienced people manager running teams onsite and virtually
• Face to face connects with Front Office, Clients, Compliance and other stakeholders as needed
• Self-motivated to find solutions
• Attention to detail is essential
• Ability to effectively utilise Microsoft Office (particularly excel and power point)
• Experience of preparing MI and presentations 

Education / Qualifications:

Essential

• Degree Level or relevant industry experience

Preferred:

• Relevant qualifications in Anti Money Laundering, fraud and bribery or Financial Crime roles would be highly desirable.
• Languages skills are not mandatory but would be beneficial as this role covers EMEA.

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Personal requirements:

• Excellent communication skills
• Results driven, with a strong sense of accountability
• A proactive, motivated approach.
• The ability to operate with urgency and prioritize work accordingly
• Strong decision making skills, the ability to demonstrate sound judgement
• A structured and logical approach to work
• Strong problem solving skills
• A creative and innovative approach to work
• Excellent interpersonal skills
• The ability to multitask and manage large workloads with tight deadlines
• Excellent attention to detail and accuracy
• A calm approach, with the ability to perform well in a pressurized environment
• Strong numerical skills
• Excellent Microsoft Office skills
• A confident approach, with the ability to provide clear direction to your team
• Excellent managerial/leadership experience
• The ability to lead a high performing team
• A strategic approach, with the ability to lead and motivate your team
• The ability to articulate and implement the vision/strategy for FLoD KYC Team

We are open to considering flexible working requests in line with organisational requirements.

MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.

We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.