Compliance Surveillance - AVP
Compliance Surveillance - AVP
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Job Description
Who are we
We are not your typical financial institution. Its 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. Its 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 largestand growingbanks in the world.
What is the opportunity
Mizuho Bank London Branch (MHBK/ Bank) forms part of the corporate banking arm of Mizuho Financial Group with a primary focus on client facing lending and financing and treasury activities.
The Compliance function is an independent function that identifies assesses advises on and monitors compliance risk that is the risk of regulatory sanctions as a result of failure to comply with applicable regulations. The Compliance function exists to support MHBK by enabling it to conduct business lawfully in accordance with regulatory requirements and with integrity. The main objective of the Compliance function is to provide an active advisory and monitoring service in relation to regulatory requirements especially those of the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA).
This role has important responsibilities in helping to ensure the Compliance function effectively discharges its responsibilities primarily in respect of the Banks European Treasury Department (ETD).
ETD conducts general treasury operations for the Bank which includes sales and trading activities in foreign exchange and interest rate products and derivatives transactions.
In particular this role will be responsible for performing compliance monitoring services for ETD.
What will you be doing
- Assist with monitoring the business systems and controls as required to ensure that ETD has appropriate policies procedures and controls in place.
- Perform reviews of compliance with specific regulations as directed by senior compliance management.
- Undertake specific compliance work covering the main regulations which apply to the Banks business including:
- Trade surveillance to detect and where relevant to escalate and investigate market abuse/ market manipulation
- Review of front office electronic and voice communications for inappropriate conduct or possible market abuse
- Key regulatory/ investor protection requirements such as best execution investment research marketing communications short selling rules personal account dealing and gifts & entertainment.
- Assist the Compliance team in meeting Head Office reporting requirements.
- Deal with general regulatory queries from staff and clients (where appropriate discussing the issues with other department members before responding).
- Provide general assistance and support to the department.
- Deal with queries from Head Office and other Mizuho entities.
- You will create implement and maintain Compliance-owned policies and procedures.
- You will assist with other tasks as may be assigned from time-to-time.
What do you need to succeed
- Great organisational and time management skills
- Excellent communication skills
- Strong numerical and analytical skills
- Customer-centric career experience
- Demonstrable ability to innovate support change and problem solve
- Collaborative nature to contribute to a successful team performance
- High level of computer literacy and skills in data manipulation / presentation
- Foster the spirit of teamwork and cohesiveness across the team
What Mizuho can offer you
Here at Mizuho there are fantastic progression opportunities and clear paths to promotion. We will give you ample opportunity to affect change and to help grow our business.
In addition to the great opportunity outlined above we are also currently able to offer:
- Competitive starting salary plus discretionary bonus
- Non-contributory pension
- 27 days annual leave
- Core working hours*
- Hybrid working - office and home based*
- Virtual GP
- Wellbeing benefits including Mental Health Allies and First Aiders
*For applicable roles only
At Mizuho we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect collaborate and work together in agile ways to meet all our business needs.
At Mizuho we are committed to supporting equality diversity and equality and seek to create a workplace that is fully inclusive. We welcome applications from all sections of the community that we operate in and from all ethnic backgrounds sexual orientation beliefs gender identities and disabilities
If you require more information about our equal opportunities policy or wish to discuss any accessibility requirements or reasonable adjustments please contact the recruitment team and we will be happy to help.
Required Experience:
Exec
Employment Type
Full Time
