VP, KYC Manager

Overview

The KYC Onboarding team sits within the First Line of Defense Control Office under MUFG's Corporate & Investment Banking Division and provides centralized KYC support for MUFG Securities across the U.S. and Canada. This leadership role oversees all KYC activities, including client onboarding, periodic reviews, offboarding, client restrictions, remediation efforts, and regulatory compliance, while partnering closely with Securities leadership and key stakeholders.

Key Responsibilities

• Lead and manage a KYC team supporting MUFG Securities clients across the U.S. and Canada
• Oversee end-to-end KYC processes including onboarding, reverifications, offboarding, client restrictions, and remediation activities
• Ensure compliance with AML/KYC policies, broker-dealer regulations, and applicable U.S. and Canadian regulatory requirements
• Manage team capacity, workload prioritization, and onboarding requests in partnership with Front Office team
• Act as the senior KYC SME and escalation point for complex onboarding cases and stakeholder inquiries
• Partner with Compliance, Quality Assurance, offshore teams, auditors, and regulators to ensure timely and accurate completion of review
• Monitor quality metrics, remediation efforts, and aging reviews to maintain compliance standards
• Develop and deliver management reporting (MI), trend analysis, and stakeholder presentations
• Drive process improvements, policy enhancements, controls strengthening, and workflow automation initiatives
• Support broader GCIB onboarding and periodic review activities as business needs require

Required Experience

• 7 years of experience in KYC, AML, Financial Crime, Fraud, or related compliance functions
• Experience within Corporate & Investment Banking, Capital Markets, or Securities environments
• Strong knowledge of broker-dealer regulatory requirements
• Proven experience leading teams, managing capacity, and driving strategic initiatives
• Strong stakeholder management experience with Front Office, Compliance, and senior leadership

Technical Skills

• Strong knowledge of U.S. and Canadian AML regulations
• Understanding of securities regulations including FINRA, QIB, Suitability Rule 2111, Regulation S, and the Volcker Rule
• Hands-on end-to-end KYC expertise
• Knowledge of banks, non-bank financial institutions, hedge funds, fund managers, insurance companies, and complex corporate structures
• Strong reporting, presentation, Excel, and PowerPoint skills
• Ability to influence stakeholders and communicate effectively at all levels

Leadership & Personal Competencies

• Strong team leadership and people management skills
• Strategic thinker with sound decision-making abilities
• Proven ability to manage high volumes, competing priorities, and tight deadlines
• Results-driven, accountable, and highly organized
• Excellent communication, stakeholder management, and problem-solving skills
• Detail-oriented with a proactive, continuous improvement mindset

Education

• Bachelor's degree required
• AML, Financial Crime, Fraud, or related professional certifications preferred