Trade & Settlement Technology Support, 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.

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

Summary:

We are seeking an AVP settlement system support specialist to serve as the technical bridge between operations and the technology that powers our broker-dealer settlement engine. This role requires deep expertise in trade flows, securities processing, cash management, and settlement across platforms such as Broadridge BPSA, ICI, COGNOS, DTCC MUSA, Postedge, IHS Markit WSO, GLOSS, Loanet, and EquiLend. The ideal candidate will lead technical issue resolution, support vendor upgrades and disaster recovery testing, and drive automation and integration initiatives. You will collaborate with IT, vendors, and business stakeholders to optimize workflows, maintain data integrity, and ensure regulatory compliance. Strong analytical, troubleshooting, and communication skills are essential, along with the ability to translate complex technical concepts into actionable guidance for operations staff. This specialist will ensure settlement processes run efficiently, reliably, and in alignment with evolving industry standards.

Education:

• Bachelor’s degree in finance, Information Systems, Computer Science, Engineering, or a related field

Work Experience:

• 5+ years of progressive experience in broker-dealer, clearing, or financial services operations/technology roles, with hands-on experience in Broadridge BPSA and related systems.

• Strong background in US securities trade lifecycle, industry utilities (DTC, NSCC, OCC), and technical tools (SQL, Unix/Linux, batch scheduling, file transfer).

• Proven communication and problem-solving skills in supporting both technical and non-technical users.

• 5+ years of experience in a broker-dealer, clearing, or financial services operations/technology role.

• Hands-on experience with Broadridge BPSA, including knowledge of key modules (trade processing, settlements, P&S, books & records, cost basis, corporate actions, etc.).

• Strong understanding of US securities trade lifecycle: order → execution → clearing → settlement → custody.

• Familiarity with industry utilities such as DTC, NSCC, OCC, and standard clearing file formats.

• Excellent communication and problem-solving skills; ability to support both technical and non-technical users.

Key Responsibilities:

• Provide front-line support for Broadridge BPSA, including trade processing, settlement workflows, books & records, and end-of-day processes.

• Monitor system performance and proactively address issues impacting operational efficiency or regulatory reporting.

• Perform daily batch job monitoring, file transmission oversight, and reconciliation of key data feeds (DTC, NSCC, clearing files, etc.).

• Partner with Operations to troubleshoot exceptions and resolve breaks in trade, settlement, and customer account activity.

• Work with Technology teams to support system upgrades, patches, release testing, and environment management.

• Assist in onboarding new products, workflows, and regulatory requirements as they relate to BPSA functionality.

• Coordinate with Broadridge support when vendor escalation is required, track and document issue resolutions.

• Maintain system documentation, runbooks, data flow diagrams, and operational procedures.

• Support user access management, entitlements, and compliance controls.

• Participate in disaster recovery testing, operational readiness checks, and incident management processes.

Technical Proficiency:

•   SQL or basic database querying

•   Unix/Linux command line

•   Batch job scheduling tools (Autosys, Control-M, etc.)

•   File transfer platforms (SFTP, NDM)

Functional Skills:

• Deep expertise in trade flows, securities processing, cash management, and settlement

• Proficiency in settlement platforms: Broadridge BPSA, ICI, COGNOS, DTCC MUSA, Postedge, IHS Markit WSO, GLOSS, Loanet, EquiLend

• Understanding of BPSA configurations and subledger configurations

• Advanced Excel proficiency

• Familiarity with automation tools and scripting

• Technical troubleshooting and root cause analysis

• Vendor management, system upgrades, and disaster recovery testing

• Regulatory compliance and industry standards knowledge

• Ability to provide technical training to non-technical staff

Other:

• As per MUFG’s Location & Return to Office Strategy policy, must work onsite out of 1251 Avenue of the Americas, New York, NY office 4 days onsite/1 day Remote.

• The typical base pay range for this role is between $130K - $159K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary

We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law.