ACD seeks a Vice President, Compliance Monitoring within the Compliance Risk Management team to support the Compliance Monitoring Program. This role is ideal for seasoned Compliance, Risk Management, or Audit Professionals who have a strong understanding of regulatory frameworks for banks and strong data & analytics skills. This role reports directly to the Head of Compliance Risk Management. Principal Duties and Responsibilities. Execution of the Compliance Monitoring Program, including, but no... more details
About the Team
Americas Compliance, as a control function within the firm’s second line of defense as well as a business partner, assists the firm in cultivating a strong Culture of Compliance and embedding the highest ethical standards and responsible business practices consistent with Mizuho’s Code of Conduct and Compliance Risk Appetite.
Compliance fulfills its mission by consistently instilling a Culture of Compliance across the bank and by assessing Compliance Risk and developing and implementing compliance controls and programs such as:
Compliance testing, surveillance and monitoring
Drafting and implementing compliance policies and procedures
Providing compliance advice and guidance to stakeholders
Designing and delivering compliance training
Managing Regulatory Relations and Examinations
Reporting to stakeholders, committees, senior management and the board of directors on significant compliance developments, issues and key compliance risks
Summary
ACD seeks a Vice President, Compliance Monitoring within the Compliance Risk Management team to support the Compliance Monitoring Program. This role is ideal for seasoned Compliance, Risk Management, or Audit Professionals who have a strong understanding of regulatory frameworks for banks and strong data & analytics skills. This role reports directly to the Head of Compliance Risk Management.
Principal Duties and Responsibilities
Execution of the Compliance Monitoring Program, including, but not limited to:
Assist with the day-to-day operations of the Compliance Monitoring Program
Support development of the Annual Compliance Monitoring Plan, including recalibration of the plan based on the results of the Compliance Risk Assessment
Update Compliance Monitoring Policies, Procedures, Frameworks and other supporting documentation
Execute Compliance Monitoring Activities, including gather and analyze data, document and socialize results
Identify and document Issues as part of Compliance Monitoring Activities and support remediation, as needed
Develop or update Compliance Monitoring Activities based on changes to regulations, Mizuho’s business and/or products
Assist with the development of the monthly Compliance Monitoring Program Reports
Develop and maintain Power BI Dashboards related to Compliance Monitoring Program
Liaise with Technology to identify source systems to support Compliance Monitoring Activities
Provide Guidance to Compliance staff, as well as the business, on development of Compliance Monitoring Activities
Collaborate with other Compliance Governance pillars, including Regulatory Change, Compliance Risk Assessment, Compliance Testing, and Issues Management
Support ad-hoc data analysis for the Compliance function, as needed
Required Qualifications
Four-year degree required, advanced degree a plus
5+ years within Compliance, Risk Management, or Audit at a Financial Institution, or Consulting supporting these functions
Understanding of the regulatory framework in the United States for banks (including bank holding companies and foreign banking organizations), broker-dealers, future commission merchants, registered investment advisers, swap dealers, and/or security-based swap dealers
Advanced to Expert proficiency in MS Excel, MS PowerPoint and MS Word
2+ years of experience utilizing Power BI or other BI visualization tools, including connecting to data sources, data preparation and development of dashboards
Proficiency in Python, SQL or other programming language a plus
Familiarity with the Microsoft Power Platform, including Power Query, Power Automate and Power Apps a plus
Excellent oral and written communication skills.
Excellent time management
Strong organizational skills and close attention to detail
Project mgmt. and implementation at mid to large size financial institutions required
Comfortable communicating directly with Senior Mgmt., COOs, Executive Mgmt., Division Heads
Strong interpersonal and written and verbal communication skills required
The expected base salary ranges from $124,500.00 - $190,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
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Other requirements
Mizuho has in place a hybrid working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as local laws and regulatory obligations.
Company Overview
Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill?, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.??
Mizuho Americas offers a competitive total rewards package.
We are an EEO/AA Employer - M/F/Disability/Veteran.
We participate in the E-Verify program.
We maintain a drug-free workplace and reserve the right to require pre- and post-hire drug testing as permitted by applicable law.
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