Director, Compliance Oversight – Testing, Monitoring and Issues Management, EMEA
mufgub · London, United Kingdom
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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 remediati