AVP-Markets Compliance Officer

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Job Description
Overview of the Department/Section
MUFG Securities Europe N.V. (MUS(EU)) is the European Union investment banking entity of MUFG, operating in close partnership with its UK affiliate, MUFG Securities EMEA plc.

MUS(EU) Paris branch provides client solutions across primary and secondary markets.

The client group includes EEA financial institutions and large corporates.

Compliance's core mission is to support and oversee the business activities.

Main Purpose of the Role
Actively contribute to maintaining an effective compliance framework for the Paris Branch, providing day-to-day regulatory advice, and fostering a strong compliance culture. Provide support to ensure compliance with all applicable laws, regulations, and internal standards. Collaborate effectively with MUFG EMEA (MUSE) in and MUFG Bank Europe (MBE) Compliance teams

Key Responsibilities
Compliance Framework & Oversight:

• Support the implementation and maintenance of a robust compliance framework tailored to the branch's activities and risk profile.
• Contribute to governance reporting and development and delivery of management information for senior stakeholders.
• Support in performing risk assessments and thematic reviews.
• Contribute to compliance monitoring, testing, and reporting activities
• Assist in reviewing, and updating compliance policies and procedures,
• Analyse alerts escalated by the Trade and eComm Surveillance Teams
• Collaborate with EMEA Compliance teams to ensure effective oversight of outsourced compliance services.

Advisory & Regulatory Interaction:

• Partner with the business and compliance colleagues to support new business initiatives, performing evaluation against risk appetite and regulations
• Provide on-the ground advice to the business on regulatory requirements, internal policies, and procedures
• Promote compliance awareness and deliver or coordinate training sessions for branch staff.
• Assist with management of relationships with local regulators (AMF) and professional associations (AMAFI).
• Assist with ad hoc regulatory requests.

Financial Crime Compliance:

• Contribute to KYC reviews and approvals
• Prepare and submit the annual AML/CFT regulatory reports for the ACPR
• Support AML and sanctions oversight, including transaction monitoring, suspicious activity reporting, and liaison with the FIU (Tracfin).

Work Experience

• 3–6 years' experience in Markets Compliance within an international financial institution or from a financial regulator.
• Experience in interacting with Senior Management

Functional / Technical Competencies:

• In-depth knowledge of French and EU financial regulation (MIFID, MAD/MAR, GDPR).
• Experience in Financial Crime Compliance, including AML/CFT, sanctions and ABC
• Proven understanding of the complexity of capital markets and products regulations, including their practical implications for both private side and public side activities.
• Demonstrated ability to design, access and execute compliance controls and testing
• Fluent in French and English (written and spoken).

Personal Requirements

• Academic (master) degree in a relevant field of study
• Excellent problem solving skills
• Good presentation skills, verbal and written
• Ability to challenge and ask questions
• Proactive self-starter, able to handle diverse workload

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.