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

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 regulatory requirements and conduct email monitoring.

Responsibilities include:

  • 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.