Assistant Vice President, Monitoring, Surveillance & Testing

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.

MUFG Securities is seeking for an Assistant Vice President, Monitoring, Surveillance & Testing to join their dynamic team in Hong Kong. In this pivotal role, you will be instrumental in supporting the organisation’s core compliance functions, with a particular focus on Monitoring, Surveillance & Testing. This position offers you the chance to work at the heart of regulatory compliance, where your expertise will directly contribute to upholding the highest standards of integrity and operational excellence. The organisation is committed to fostering a supportive and inclusive environment that values collaboration, professional growth, and continuous learning.

What you'll do:

As an Assistant Vice President, Monitoring, Surveillance & Testing based in Hong Kong, you will immerse yourself in a diverse array of responsibilities designed to strengthen the organisation’s overall compliance framework.

• Perform comprehensive tasks related to Monitoring, Surveillance & Testing to ensure adherence to internal policies and external regulations.

• Assist with a wide range of core compliance matters for the Asia region, including General Compliance, Control Room, Licensing, and Regulatory Compliance.

• Support the review and drafting of policies and procedures.

• Assist in responding promptly and accurately to regulatory inquiries and investigations.

• Provide training, support, and guidance on regulatory and compliance matters to staff members.

• Keep abreast of evolving regulatory developments.

• Contribute to process improvement initiatives by proposing strategies to streamline or automate existing workflows within the compliance function.

• Collaborate closely with colleagues across different teams to ensure consistent application of compliance standards and best practices.

• Undertake ad-hoc tasks as assigned by senior management to address emerging risks or urgent compliance needs.

What you bring:

To excel as an Assistant Vice President, Monitoring, Surveillance & Testing, your background should reflect substantial experience within global investment banking environments where you have developed deep familiarity with core compliance functions. You bring proven expertise in navigating multifaceted compliance issues—whether through hands-on monitoring activities or policy development—and are adept at leveraging technology or automation tools where appropriate. Your analytical acumen allows you to identify potential risks quickly while your pragmatic problem-solving skills enable effective resolution. Above all else, your collaborative spirit ensures that you thrive within team settings where mutual respect and shared goals are paramount.

• Bachelor degree holder in Finance, Accounting, Law, or a related field with strong academic credentials demonstrating your commitment to excellence.

• Minimum 5 years of experience working within the compliance function of a global investment bank or similar financial services environment.

• Demonstrated knowledge of AI usage or automation processes is considered a significant advantage for this role.

• A logical, analytical mindset paired with meticulous attention to detail ensures accuracy in all aspects of your work.

• Ability to solve problems creatively and pragmatically while maintaining high ethical standards at all times.

• Proactive attitude with initiative to drive projects through to successful resolution even when faced with complex challenges.

• Excellent communication skills enabling you to explain intricate regulatory concepts clearly across all levels of the organisation.

• Outstanding interpersonal abilities that foster trust-based relationships with colleagues from diverse backgrounds

 We regret to inform that only shortlisted applicants will be notified. Personal data collected will be used for recruitment purposes only.

Mitsubishi UFJ Financial Group (MUFG) is an equal opportunity employer. We view our employees as our key assets as they are fundamental to our long-term growth and success. MUFG is committed to hiring based on merit and organsational fit, regardless of race, religion or gender.