Compliance Surveillance Associate

Profile Summary

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 Mizuho 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.

Duties and Responsibilities

You will assist with the delivery of a varied range of Surveillance responsibilities including:

• Review of alerts generated by Mizuhos trade surveillance system
• Review of alerts generated by Mizuhos electronic communications surveillance system
• Review of voice communications for inappropriate conduct or possible market abuse/market manipulation
• Control Room activities such as coordinating conflict checks
• Review and approval of staff personal account trading activity
• Other tasks as may be assigned from time-to-time

Qualifications Skills and Experience

• Foundational experience within the banking industry preferably within Surveillance or similar role
• Educated to degree level or equivalent experience and a relevant regulatory qualification
• Good knowledge of PRA/ FCA rules and Market Abuse Regulation
• Demonstrable understanding of products traded in financial markets
• Great organisational and time management skills
• Strong analytical skills and attention to detail
• Excellent communication skills
• High level of computer literacy and skills in data manipulation / presentation
• Demonstrable ability to innovate support change and problem solve
• Collaborative nature to contribute to a successful team performance
• Strong commitment to personal development

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.