Trade Surveillance Assistant Vice President

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 is seeking an Assistant Vice President, Trade Surveillance to join their Core Compliance team in London. This pivotal role offers you the opportunity to be part of a highly respected global financial institution renowned for its commitment to ethical conduct and accountability. As a key member of the EMEA Surveillance Department, you will play an essential part in safeguarding the integrity of MUFG’s investment banking operations by detecting, monitoring, analysing, and investigating trading activities across multiple asset classes and markets. You will work closely with experienced professionals in a supportive environment that values collaboration, knowledge sharing, and continuous improvement. MUFG provides flexible working opportunities, generous pension contributions, and ongoing training to help you grow your expertise and advance your career within a culture that prioritises both professional development and personal wellbeing.

• Join a globally recognised financial institution with a strong reputation for ethical conduct and compliance, where your expertise will directly contribute to maintaining market integrity.
• Enjoy flexible working arrangements, generous pension contributions, and access to comprehensive training programmes designed to support your growth and development.
• Work alongside knowledgeable colleagues in a collaborative environment that encourages sharing ideas, nurturing talent, and supporting each other to achieve collective goals.

What you'll do: 

As Assistant Vice President, Trade Surveillance at MUFG in London, you will be entrusted with critical responsibilities that underpin the bank’s compliance framework. Your day-to-day activities will involve reviewing complex trading activity alerts referred by offshore teams or escalated from the Front Office. You will leverage sophisticated market data sources and surveillance technologies to analyse transactions across equities, fixed income instruments, FX markets, repos, derivatives—including futures, swaps, options—and structured products. By collaborating with colleagues across departments, you will ensure rigorous quality control standards are met while helping train others on evolving market abuse typologies. Your analytical skills will be instrumental in identifying suspicious behaviours or emerging risks that may require regulatory reporting or further investigation. Additionally, you will contribute to optimising surveillance processes through calibration reviews, procedure updates, automation initiatives, and system enhancements. Building strong inter-personal connections with stakeholders throughout MUFG will enable you to gather evidence efficiently for investigations while supporting broader compliance objectives. Success in this role requires meticulous attention to detail, responsiveness under pressure, excellent communication abilities, and a genuine commitment to upholding ethical standards.

• Review and investigate all referrals made by the offshore Level 1 surveillance team as a Level 2 Surveillance Officer, ensuring thorough documentation and analysis of relevant information to determine if escalation is required.
• Utilise advanced systems and tools such as Bloomberg, Reuters, order and trade booking platforms, risk management systems, and automated communication surveillance technologies to conduct detailed alert investigations.
• Collaborate closely with both Level 1 and Level 2 teams to ensure high-quality end-to-end alert disposition processes while providing constructive feedback for ongoing training initiatives.
• Assist in sample-based quality control testing of alert closures performed by the Level 1 team to guarantee adequacy, completeness, and robust conclusions.
• Analyse alert patterns and escalation trends to identify emerging risks, behavioural anomalies, and potential market abuse issues within MUFG’s trading activities.
• Support the annual calibration and backtesting review process by contributing to result analysis and recommending parameter changes that enhance the effectiveness of the trade surveillance framework.
• Update and maintain high-quality procedures for trade surveillance alerts to reflect programme changes and regulatory developments.
• Participate in new alert scenario development, testing, deployment, and ongoing enhancement efforts aimed at improving operating efficiency within the surveillance function.
• Identify opportunities for automation and AI integration to increase productivity, effectiveness, and efficiency across surveillance operations.
• Build positive relationships with Front Office staff and wider Compliance teams to facilitate evidence collection for investigations while supporting training on new products, platforms, and market abuse risk typologies.

What you bring:

To excel as Assistant Vice President, Trade Surveillance at MUFG in London you must bring substantial experience from an investment banking environment—ideally having spent several years actively engaged in trade surveillance functions. Your deep understanding of financial markets spanning equities through fixed income instruments (including credit/rates), FX markets, repos as well as derivatives such as options/futures/swaps/structured products will be invaluable when analysing trading behaviours for signs of market abuse. Familiarity with UK/EU regulations like MAR/MiFID II alongside FCA expectations ensures your assessments are always compliant. Technical proficiency using advanced surveillance platforms (KX/Nasdaq SMARTS) combined with knowledge of optimisation techniques empowers you to drive improvements in system efficiency. If you have experience applying data analytics or automation strategies within compliance frameworks this will further strengthen your candidacy. Academic credentials should include at least a bachelor’s degree in finance-related disciplines; additional qualifications such as an MBA or certifications like CFA/CAMS/ICA are welcomed. Your interpersonal skills must be exceptional—enabling effective communication during investigations as well as collaborative engagement with colleagues across teams. A structured approach paired with sound judgement helps navigate complex scenarios requiring escalation while your attention to detail ensures accuracy even under tight deadlines. Calmness under pressure rounds out your profile making you dependable when managing demanding workloads.

• Practical experience in a Trade Surveillance function within an investment banking environment is essential for this role.
• Proven track record conducting detailed market abuse enquiries and investigations across major asset classes such as equities, fixed income instruments (credit/rates), FX markets, repos, derivatives (options/futures/swaps/structured products).
• In-depth knowledge of UK/EU Market Abuse Regulation (MAR), MiFID II requirements, FCA regulatory expectations on market abuse surveillance programmes is mandatory.
• Familiarity with surveillance systems/technologies including optimisation techniques; proficiency with platforms like KX or Nasdaq SMARTS is preferred.
• Experience in data analytics or automation methods that enhance surveillance effectiveness is highly desirable.
• Bachelor’s degree in Finance, Economics, Business Administration or related field is required; advanced degrees (MBA) or professional certifications (CFA/CAMS/ICA) are advantageous.
• Excellent communication skills enabling clear articulation of findings during investigations as well as effective collaboration with colleagues across departments.
• A results-driven approach combined with strong accountability ensures timely completion of tasks aligned with compliance objectives.
• Structured logical thinking paired with sound judgement supports accurate assessment of complex cases requiring escalation or regulatory reporting.
• Exceptional attention to detail coupled with calmness under pressure allows you to manage large workloads efficiently while maintaining accuracy.

What sets MUFG apart:

MUFG stands out as one of the world’s leading financial institutions committed to fostering a culture rooted in ethical conduct and accountability. The organisation places immense value on collaboration among its diverse workforce—ensuring every employee feels supported by knowledgeable colleagues who share their expertise freely. Flexible working opportunities allow you to balance professional ambitions with personal wellbeing while generous pension contributions provide long-term security. Training programmes are regularly offered so you can continue developing your skills throughout your career journey at MUFG. The company’s inclusive approach means everyone has access to growth leadership opportunities regardless of background or experience level; this creates an environment where talent is nurtured collectively rather than individually. Working at MUFG means joining a network dedicated not only to business success but also communal responsibility—making it an ideal place for those who value teamwork alongside technical excellence.

What's next:

If you are ready to make a meaningful impact within a globally respected financial institution while advancing your career in trade surveillance compliance—this is your moment!

Apply today by clicking on the link provided.

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.