Americas Compliance 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 i... more details
Americas Compliance
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
Job Responsibilities
Conduct compliance testing of policies, procedures, and controls to ensure compliance with laws, regulations, and rules applicable to MCM, a registered Security Based-Swap Dealer and registered Swap Dealer; MMA, a registered OTC Derivatives Dealer, and to Mizuho U.S. operations (MUSO).
Execute risk-based controls testing and present testing results and issue written reports to senior management detailing identified issues, root cause, and corrective action plans.
Collaborate with relevant key stakeholders, including risk and compliance advisory partners to address and resolve issues identified during testing and monitoring and provided compliance support in development of action plans and enhancing supervisory controls
The role will also call for involvement in various additional projects as needed, to the extent they do not impede the independence needed for the individual to perform the Testing function
Qualifications
Eligible to work in the US
Four-year college degree. JD or other graduate degree, a plus.
5 - 10 years’ experience working in a Swap Dealer, Security-Based Swap Dealer, Futures Commission Merchant, or investment banking environment, with at least 3 years in a Compliance function, focusing on testing, auditing, or risk assessment. Experience working for a financial regulator, a plus.
Testing and/or auditing experience is required with strong analytical and organizational skills
Excellent oral and written communication skills.
Excellent time management
Strong organizational skills and close attention to detail
Familiarity with Title VII of the Dodd-Frank Act and the Volcker Rule.
The expected base salary ranges from 124,000.00 - $175,000.00. 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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