The posting
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.
Vice President – Equity Research Controls and Business Management
Position Summary
MUFG is seeking a Vice President, Equity Research Controls and Business Management, to serve as the primary governance, controls, and business management partner for its US Equity Research organization. This highly visible role sits at the intersection of Research, Compliance, Risk, Technology, Operations, and senior management, helping to ensure the Research platform operates in a controlled, efficient, and scalable manner. The successful candidate will advise Research leadership on regulatory, supervisory, operational, and strategic matters while driving initiatives that strengthen governance, enhance operating effectiveness, and support long-term business objectives.
The position combines responsibility for first-line controls oversight with broader business management activities, including strategic planning, technology and vendor management, management reporting, process improvement, and execution of key business initiatives. This is an opportunity to play a central role in the management and continued evolution of a leading Equity Research franchise within a global financial institution.
Key Responsibilities
- Serve as the primary controls and business management partner to the US Equity Research organization, advising leadership on regulatory, supervisory, operational, and strategic matters.
- Maintain the Research governance, risk, and control framework, including policies, procedures, controls, risk assessments, management reporting, and oversight processes.
- Lead the Research Risk and Control Self-Assessment (RCSA) process and coordinate ongoing risk monitoring, control reviews, issue management, and remediation activities.
- Identify, assess, and escalate regulatory, operational, supervisory, and reputational risks impacting the Research business.
- Develop and monitor management reporting, key risk indicators, business metrics, and dashboards to support effective decision-making and oversight.
- Coordinate regulatory examinations, compliance reviews, internal audits, control testing, and other assurance activities affecting the Research organization.
- Support regulatory inquiries and interactions by coordinating information requests, documentation, and management responses.
- Advise Research leadership on regulatory developments, governance matters, supervisory practices, and opportunities to enhance the control environment.
- Serve as a designated backup Supervisory Analyst, performing review and approval responsibilities as needed to support research publication oversight, regulatory compliance, and business continuity.
- Support execution of strategic initiatives, operating priorities, and business plans to enhance the effectiveness and scalability of the Research platform.
- Partner with Technology, Operations, Compliance, Legal, Finance, Human Resources, and Risk Management to drive process improvements, workflow enhancements, automation opportunities, and control enhancements.
- Manage key Research vendor and technology relationships, including platform governance, service delivery, contract oversight, and operational support.
- Support budget management, resource planning, expense oversight, and other business management activities for the Research organization.
- Prepare presentations, analyses, and materials for senior management, governance committees, regulators, and other stakeholders.
- Promote a strong culture of accountability, risk awareness, and effective governance across the Research organization.
Qualifications
Required
- Bachelor's degree in Finance, Economics, Business Administration, Accounting, or a related field.
- 7-10 years of experience supporting an Equity Research organization in a controls, supervisory, compliance, business management, operational risk, or related governance capacity.
- Strong understanding of SEC and FINRA requirements applicable to Equity Research, including FINRA Rule 2241, Global Research Settlement obligations, research conflicts management requirements, information barrier controls, and research publication governance.
- Experience supporting research publication, supervisory, approval, or oversight processes within a broker-dealer environment.
- Experience developing and maintaining governance, risk, and control frameworks, including risk assessments, issue management, remediation activities, key risk indicators, management reporting, and regulatory interactions.
- Demonstrated ability to coordinate regulatory examinations, compliance reviews, internal audits, and other assurance activities.
- Strong understanding of Research operating models, workflows, technology platforms, vendor relationships, and production processes.
- Demonstrated ability to independently assess risks, challenge business practices, and provide practical recommendations to senior management.
- Excellent analytical, communication, presentation, and stakeholder management skills.
- Advanced proficiency in Microsoft Office applications, including Excel and PowerPoint.
- Ability to work independently and effectively manage multiple priorities in a fast-paced environment.
- Preferred Qualifications
- Series 16 registration.
- Prior experience serving as a Supervisory Analyst or supporting research publication review and approval processes.
- Experience with BlueMatrix or other research publishing, workflow, and distribution platforms.
- Experience leading technology, workflow automation, AI, or business transformation initiatives within a Research organization.
- Experience with budget management, vendor oversight, strategic planning, or broader business management responsibilities.
Preferred
- Series 16 registration.
- Prior experience serving as a Supervisory Analyst or supporting research publication review and approval processes.
- Experience with BlueMatrix application.
- Experience leading technology, workflow automation, AI, or business transformation initiatives within a Research organization.
- Experience with budget management, vendor oversight, strategic planning, or broader business management responsibilities.
Why Join Us
This is a unique opportunity to serve as a key member of the US Equity Research leadership team and play a central role in the continued growth and evolution of MUFG's Research platform. The successful candidate will influence the organization's governance framework, operating model, strategic priorities, supervisory program, and control environment while partnering closely with senior management and stakeholders across the firm.
The role offers broad exposure to Research leadership, Compliance, Risk, Technology, Operations, and executive management, providing the opportunity to drive meaningful initiatives across governance, business operations, regulatory oversight, technology, and process improvement.
This position is ideally suited for an experienced Equity Research COO, Research Business Manager, Research Controls Officer, Supervisory Analyst, or Research-focused governance professional seeking a highly visible leadership role within a growing Research organization.
The typical base pay range for this role is between $111K - 173K base salary depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary
We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
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.
We are proud to be an Equal Opportunity 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 on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.
