Legal Counsel, Regulatory Advisor - Global Markets
About this role
Legal Counsel, Regulatory Advisor - Global Markets
The Americas Legal Department is looking for a motivated entry-level to mid-level attorney to provide legal and regulatory advisory support to our Global Markets businesses conducted through MUFG’s regulated entities including two CFTC registered swap dealers, an SEC registered broker dealer, and one SEC security-based swap dealer. Relevant experience and a strong understanding of SEC, CFTC, FINRA and NFA rules are essential. The ideal candidate will be familiar with entity and transaction level rules and requirements, and how those requirements are applied extra-territorially within a substituted compliance regime.
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