- Serve as the Compliance Subject Matter Expert on Information Barriers
- Serve as Subject Matter Expert to Equity Research Group
- Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
- Assist on the maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
- Serve as subject matter expert to advise research, sales and trading on various restrictions
- Assist the business with research vetting’s from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research.
- Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies
- Review and approve equity research as needed
- Respond to Internal Audit and regulatory inquiries
- Execute projects as assigned by supervisor and/or Compliance senior management.
- Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.
- Think analytically and provide advice based on sound judgment
- Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the ’34 SEC Act), research rules (e.g., FINRA Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M
- Work effectively in a team environment and foster effective relationships
- Be able to react in a fast-paced environment, managing a wide variety of requests
- Be able to work positively and make decisions under time pressure
- Be able to interpret and apply SEC, FINRA and other regulatory rules
- Bachelor’s degree
- Minimum of 10 years of relevant Compliance or Control Room experience
- FINRA Broker Dealer experience
- Strong knowledge of financial markets and products
- Outstanding analytical and organizational skills
- Experience leading and delivering on projects
- Excellent communications skills (verbal and written)
- Experience on desk trading surveillance related to Watch and Restricted list preferred
- FINRA licenses (e.g., Series 7, 24) preferred
- Master’s Degree or J.D. a plus
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. Roles in some of our departments have greater in-office requirements that will be communicated to you as part of the recruitment process.
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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What We Do
This is not your typical financial institution. It’s our people who make us a cut above. Here, every person is respected because of their differences, not in spite of them. We pride ourselves on a culture of purpose, passion and compassion. At Mizuho, we provide the stability of an international industry leader with the career trajectory of a growing business. Our steady, strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone. Working for Mizuho opens doors not just to a rewarding career with excellent prospects, but to lasting friendships with colleagues from diverse cultures. It’s the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and clients who have your same ambition, you can amplify your sphere of influence and base of knowledge as part of one of the largest—and growing—banks in the world. We’re all global citizens, and that’s why our company feels compelled to make an impact through more than just drawing up deals. We prove that it’s possible to do well and do good. We do right by our clients, our community and each other.
