Director, Compliance Oversight – Testing, Monitoring and Issues Management, EMEA

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 a Director, Compliance Oversight – Testing, Monitoring and Issues Management for its EMEA operations, based in London. This pivotal role offers you the opportunity to shape and lead regional compliance functions across Financial Crimes Compliance, Core Compliance, and Markets Compliance. As the senior regional lead, you will ensure that global standards are consistently implemented while aligning with local regulatory requirements and risk profiles. You will be joining a highly respected organisation renowned for its commitment to integrity, transparency, and collaborative engagement. MUFG’s supportive leadership culture fosters talent development and encourages continuous improvement, making this an ideal environment for those who thrive on nurturing teams and driving excellence. With direct responsibility for oversight of compliance monitoring, testing routines, and issues management, you will play a key part in safeguarding the enterprise’s reputation and ensuring robust regulatory adherence across EMEA.

• Take ownership of regional compliance oversight for Financial Crimes Compliance, Core Compliance, and Markets Compliance within a globally recognised financial institution.
• Lead a talented team in embedding global standards and methodologies while adapting to local regulatory expectations and risk profiles.
• Enjoy a collaborative workplace where your strategic vision, inclusive approach, and commitment to disciplined execution are valued and supported by senior leadership.

What you'll do:

As Director of Compliance Oversight – Testing, Monitoring and Issues Management at MUFG in London you will be entrusted with leading the regional execution of three critical compliance functions: monitoring routines; testing plans; and issues management. Your day-to-day responsibilities will involve collaborating closely with global function owners as well as local teams to embed global standards across EMEA while remaining responsive to local legal requirements. You will oversee the annual test plan from inception through report development to issue escalation—ensuring that all activities reflect both enterprise priorities and regional regulatory obligations. By reviewing monitoring outcomes and thematic observations you will help identify emerging risks before they impact business operations. Your role also includes providing guidance on issue identification processes—ensuring thorough documentation; severity assessment; action planning; validation; closure—and challenging action plan adequacy when needed. Success in this position requires fostering disciplined execution among your team members; supporting talent development; coordinating transparent reporting for senior management; and maintaining open lines of communication with stakeholders across multiple jurisdictions.

• Lead the EMEA regional oversight model for compliance monitoring, testing, and issues management across multiple compliance disciplines including Financial Crimes Compliance, Core Compliance, and Markets Compliance.
• Implement global compliance standards, procedures, methodologies, and execution requirements throughout the region to ensure consistency and alignment with enterprise objectives.
• Provide senior-level regional oversight by challenging execution risks, identifying control gaps, managing overdue deliverables, and addressing quality concerns in compliance activities.
• Oversee the annual Compliance Test Plan for EMEA by managing scoping processes, ensuring execution quality, developing comprehensive reports, validating results, identifying issues, and escalating as necessary.
• Ensure testing coverage accurately reflects regional regulatory obligations, business activities, risk assessments, and global priorities to maintain robust compliance.
• Supervise regional execution of monitoring routines established by the global compliance monitoring programme to assess control effectiveness and emerging risks.
• Review monitoring results, trends, exceptions, and thematic observations to identify root cause themes and control weaknesses within the compliance framework.
• Provide regional oversight of issue identification including documentation, severity assessment, ownership assignment, action planning, validation processes, and closure protocols.
• Challenge the adequacy of action plans by evaluating milestone discipline, evidence quality, closure readiness while overseeing reporting on issue status for senior management.
• Coordinate with global function owners as well as regional compliance leadership and local teams to ensure consistency in execution while promoting transparency and accountability.

What you bring: 

To excel as Director of Compliance Oversight – Testing, Monitoring and Issues Management at MUFG you will bring extensive experience from global organisations—ideally spanning over fifteen years—with significant exposure to managerial roles leading high-performing teams. Your expertise should encompass financial sector regulations including banking laws as well as supervisory guidance relevant to compliance or risk management disciplines. You will have demonstrated success implementing global operating models across diverse jurisdictions while maintaining sensitivity to local legal frameworks. Your interpersonal skills must enable you to build cooperative partnerships across regions—facilitating transparency between stakeholders at all levels. Experience with governance forums is essential along with proficiency in regulatory remediation programmes or transformation initiatives. Advanced communication capabilities are required for executive-level reporting alongside technical competence using GRC platforms or data analytics tools. Your proven ability to nurture talent within your team—combined with strategic thinking—will ensure disciplined execution of compliance functions under your leadership.

• Extensive experience working within a global organisation plus managerial experience leading teams in complex environments.
• Significant background in financial services with deep knowledge of banking laws; regulations; supervisory guidance; compliance; risk management or related control functions.
• Proven track record overseeing risk-based compliance testing; monitoring routines; issue remediation; or control assurance activities within large financial institutions.
• Strong understanding of Financial Crimes Compliance; Core Compliance; Markets Compliance risk areas—including how second-line oversight supports organisational integrity.
• Demonstrated ability to implement global standards; procedures; methodologies or operating models across multiple jurisdictions while adapting to local requirements.
• Exceptional skills in stakeholder management—negotiation; influencing senior leaders in matrixed environments; providing credible challenge when necessary.
• Comprehensive knowledge of regulatory expectations across EMEA coupled with the ability to align global requirements with local legal obligations.
• Experience participating in governance forums; senior management reporting; regulatory remediation programmes or transformation initiatives within financial services.
• Excellent communication skills—both written and verbal—with strong executive-level report-writing abilities for clear documentation of findings.
• Proficiency with compliance technology platforms (GRC systems); data governance tools; issue management repositories; testing analytics software; Microsoft Office suite.

What sets MUFG apart: 

MUFG stands out as one of the world’s most trusted financial institutions—a company deeply committed to integrity; transparency; collaboration; and continuous improvement. The organisation’s supportive leadership culture prioritises talent development through inclusive engagement practices that foster growth at every level. Employees benefit from working alongside knowledgeable colleagues who value teamwork over hierarchy—creating an environment where ideas are shared freely regardless of title or tenure. MUFG’s dedication to disciplined execution ensures that every team member has access to training opportunities designed for professional advancement while generous pension contributions support long-term security. The company’s flexible working arrangements further enhance work-life balance—making it possible for employees to thrive both personally and professionally. As part of MUFG’s EMEA operations you will enjoy being part of a network that values responsible stewardship over aggressive competition—where nurturing relationships is central to achieving organisational goals.

What's next: 

If you are ready to make a meaningful impact on regional compliance oversight within a globally respected institution like MUFG then this is your opportunity!

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.