Mizuho Americas Services LLC

Apply for this job

General Compliance Testing VP (Legal)



ALCD

The Americas Legal and Compliance Department (ALCD) belongs to the Compliance Group of Mizuho Bank, Ltd. (MHBK) and is divided broadly into two main functions: the Legal function, which manages legal risk, and the Compliance function, which manages compliance and regulatory risk by establishing compliance policies, providing training, conducting compliance reviews, monitoring anti-money laundering (AML) and know your customer (KYC) matters, and coordinating regulatory examinations and relations.

ATO

The Americas Testing Office (ATO)'s mission is to protect Mizuho offices in the Americas from compliance risks by testing the effectiveness of controls designed to ensure adherence to key regulatory requirements and corresponding Mizuho policies and procedures. ATO belongs to ALCD and is responsible for compliance risk assessment and testing/monitoring of Mizuho's operations in the Americas, including MHBK US and Canada Branches, MHBK (USA), Mizuho Securities USA (MSUSA), and Latin American subsidiaries. ATO provides the Mizuho offices in the Americas with clear guidance from the Head Office as well as local regulators mainly in the US and promotes strong compliance culture through periodic monitoring and testing.

Position Summary

The General Compliance Testing VP will perform the assigned functions, as outlined below, and conduct compliance testing and monitoring across various lines of business, banking offices, and operating departments.

Responsibilities

The VP's day to day responsibilities will:

Perform compliance testing

  • Lead and /or perform compliance testing, identify issues and make recommendations and report the result
  • Follow up on the issues and on the status of remediation

Perform compliance risk assessment on themes tested

  • Identify Key Risk Indicators and perform risk assessment on themes tested
  • Participate in risk assessment discussions

Analyze the region's (the Americas) compliance status and compliance framework

  • Perform ongoing offsite monitoring to the offices in the region;
    review Compliance Action Program, Compliance Committee Minutes, external/internal exam/audit reports, etc.

Respond to individual inquiries/issues from the Head Office and offices, etc.

  • Function as a liaison with the Head Office Compliance Group and offices in the Americas

Conduct other related tasks of ALCD

Qualifications

  • Eligible to work in the US
  • Bachelor's degree
  • JD, Bar, CPA or equivalent professional qualification
  • 7+ years of compliance or internal audit experience
  • 2+ years of compliance testing experience
  • Corporate / commercial banking experience, especially Foreign Banking Organization (FBO)
  • Strong analytical and problem solving skills
  • Excellent interpersonal and communication skills
  • Possess adaptability/flexibility and organizational sense
  • Able to work collaboratively with the team
  • Japanese language skill is a plus, but not required

Company Overview

Mizuho Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho's operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at mizuhoamericas.com.

Other requirements

In accordance with New York City law, employees based in Mizuho's New York City office are required to be fully vaccinated against COVID-19 to work on-site (unless a legally-required accommodation has been approved).  Mizuho has in place a pilot remote 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 Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho's operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at mizuhoamericas.com.

Mizuho Bank Ltd. 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 perform pre-employment substance abuse testing.

#LI-MIZUHO

Apply
Apply Here done