Compliance Risk Management (Finance)

About the Team

Americas Compliance, as a control function within the firm's second line of defense as well as a business partner, assists the firm in cultivating a strong Culture of Compliance and embedding the highest ethical standards and responsible business practices consistent with Mizuho's Code of Conduct and Compliance Risk Appetite.

Compliance fulfills its mission by consistently instilling a Culture of Compliance across the bank and by assessing Compliance Risk and developing and implementing compliance controls and programs such as:

• Compliance testing, surveillance and monitoring
• Drafting and implementing compliance policies and procedures
• Providing compliance advice and guidance to stakeholders
• Designing and delivering compliance training
• Managing Regulatory Relations and Examinations
• Reporting to stakeholders, committees, senior management and the board of directors on significant compliance developments, issues and key compliance risks

Summary

Americas Compliance seeks an Assistant Vice President within the Compliance Risk Management team to support the Mizuho U.S. Operations Compliance Risk Management framework programs. Candidate would provide day-to-day support covering a number of tasks and assignments within the Compliance Risk Management Team.

Principal Duties and Responsibilities

Day-to-day support of the Compliance Risk Management Program, including but not limited to:

• Assist with the day-to-day operations of the Compliance Risk Management team
• Collection and analysis of pertinent data across Compliance functions to support Compliance Monitoring, Compliance Risk Assessment, and Compliance Risk Appetite operations
• Support ongoing development of Compliance Data & Analytics program including development of PowerBI reporting tools
• Support Compliance Risk Assessment team with data collection, analysis, and review including QA of annual compliance risk assessment and reporting
• Help execute and enhance reporting of Compliance Risk profile and Compliance Governance materials to senior management and other key stakeholders
• Support relationship and collaboration with other control functions such as Non-Financial Risk, Business Risk and Controls, and Internal Audit, amongst others, to carry out risk management related items such as Compliance Review of Risk Acceptances, Risk and Controls Self Assessment, and Internal Control Testing
• Support and execute ad hoc requests for Head of Compliance Risk Management

Required Qualifications

• Four-year degree required, advanced degree a plus
• 2-3 years within Compliance, Risk Management, or Audit at a Financial Institution, or Consulting supporting these functions
• Understanding of the regulatory framework in the United States for banks (including bank holding companies and foreign banking organizations), broker-dealers, future commission merchants, registered investment advisers, swap dealers, and/or security-based swap dealers
• Advanced proficiency in MS Excel, MS PowerPoint, and MS Word
• Familiarity utilizing Power BI or other BI visualization tools and familiarity with the Microsoft Power Platform, including Power Query, Power Automate, and Power Apps a plus
• Strong analytical skills
• Strong oral and written communication skills.
• Excellent time management
• Strong organizational skills and close attention to detail
• Strong interpersonal and written and verbal communication skills required

The expected base salary ranges from $99,000.00 -$140,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.

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