Senior Officer, Compliance
- Permanent, Full time
- Mizuho Bank
- 18 Feb 18 2018-02-18
Asia & Oceania Administration Department - Compliance
Mizuho Bank, Ltd. is a subsidiary of the Japan-based Mizuho Financial Group, Inc. (listed on the Tokyo Stock Exchange and NYSE) and is one of the largest financial services companies in the world. Mizuho Bank, Ltd. provides financial and strategic solutions for the increasingly diverse and sophisticated needs of its clients with offices located in all the major cities of the world such as Tokyo, New York, London, Hong Kong and Singapore.
Overview of Division/Department
Our Compliance (CPL), a member of our Asia & Oceania Administration Department, is in charge of formulating and maintaining the compliance framework to ensure our compliance with internal and external regulations.
Your key roles & responsibilities include:
- Assist in planning and executing the Bank's Compliance programs, namely:
- Compliance Action Program
- Information Control Action Program
- Responsible for processing applications made under various Compliance procedures (e.g. entertainment and gift, and personal securities trading procedures) and the general administration of such procedures in a timely manner.
- Provide general guidance to internal stakeholders on matters/ issues relating to the Compliance programs or procedures.
- Ensure timely submission of reports to Management and Head Office, as may be required.
- Conduct email audit and such other testing of controls as may be required under the Information Control framework.
- Conduct 1 st level review of emails and chats (e.g. Bloomberg chats) in connection with the Bank's trade surveillance program and benchmark rate submission process.
- Assist in ensuring that the Internal Operation Procedures and any other documents relating to Compliance procedures are kept updated.
- Collaborate with respective teams in the Compliance section in ad-hoc compliance-related projects.
- (Where applicable) Assist in preparation for and/or participate in Local Operations Committee and any other committees, forums or dialogue sessions as part and parcel of the Bank's overall compliance and monitoring framework.
- (Where applicable) Assist in planning and completing the conduct of intra-office inspection.
- A Bachelor Degree with at least 3 years of compliance experience and at least 2 years in a corporate/commercial bank.
- Prior experience in compliance regulatory work is preferred, and having a good understanding on regulatory requirements relating to technology risk and outsourcing will be an advantage.
- Experienced in analysis, investigative and/or programming work with a can-do and will-do attitude are skills and attributes which will help the candidates perform well in this role.