Compliance Advisor, Vice President
- Not Specified
- New York, NY, USA
- Permanent, Full time
- Mizuho Bank Ltd
- 26 Sep 16
Position Summary: The Compliance Advisor will work with various Relationship Managers to provide compliance support to a number of the firms’ businesses. A significant portion of time is expected to be devoted to reviewing marketing materials to ensure compliance with various federal, state & FINRA
The Compliance Advisor will work with various Relationship Managers to provide compliance support to a number of the firms’ businesses. A significant portion of time is expected to be devoted to reviewing marketing materials to ensure compliance with various federal, state & FINRA regulatory requirements and conduct email monitoring.
- Review marketing materials and conduct email review (primary responsibilities)
- Collaborate with Legal and other Compliance departments, when necessary, in review and compliance approval of marketing materials
- Review e-mail correspondence to ensure compliance with bank and securities policies and regulations
- Assist in the drafting of internal operating procedures
- Stay current with all changes to applicable rules and regulations
- Assist with examinations and audits by internal and external parties
- Take on additional assignments as needed
The ideal candidates will have:
- Bachelor’s degree or equivalent; JD preferred
- Series 7 and 24; or candidate may be required to obtain them within 1 year of starting
- 3-5 years of compliance experience at a financial institution such as a bank or broker-dealer
- Experience with public communications rules and industry best practices for marketing materials for compliance with SEC and FINRA rules
- Attention to detail
- Substantial initiative, creativity and drive
- Strong analytical and issue-spotting skills
- Excellent oral and written communication skills with an ability to communicate confidently and effectively
- Must demonstrate flexibility, sound judgment, problem solving and analytical capabilities, and the ability to multi-task.
- Ability to analyze detailed, complex regulations and transactions.
- Proven excellent research skills.
Mizuho Bank Ltd. offers a competitive total rewards package.
We are an EEO/AA Employer - M/F/Disability/Veteran.
We maintain a drug-free workplace and perform pre-employment substance abuse testing.