Senior Officer/Officer, Compliance
- Permanent, Full time
- Mizuho Bank
- 22 Feb 18 2018-02-22
Asia & Oceania Administration Department - Compliance
Mizuho Bank, Ltd. is a subsidiary of the Japan-based Mizuho Financial Group, Inc. (listed on the Tokyo Stock Exchange and NYSE) and is one of the largest financial services companies in the world. Mizuho Bank, Ltd. provides financial and strategic solutions for the increasingly diverse and sophisticated needs of its clients with offices located in all the major cities of the world such as Tokyo, New York, London, Hong Kong and Singapore.
Overview of Division/Department
Our Compliance (CPL), a member of our Asia & Oceania Administration Department, is in charge of formulating and maintaining the compliance framework to ensure our compliance with internal and external regulations.
(Internal corporate title: Senior Officer/Officer)
Your key roles & responsibilities include:
- Overall in-charge of testing of controls over manual processes (Intra-Office Inspection) in front and middle offices
- Responsible for planning of testing subjects on an annual basis and prompt reporting to Head Office.
- Execute testing activities in a timely and effective manner
- Ensure prompt escalation of issues and concerns to Team Lead and Section Head in an appropriate manner
- During the course of testing, establish relationships with key stakeholders and work with them to remediate deficiencies identified during the tests
- Develop desktop procedures to clearly document the testing steps used to ensure that the objectives of the tests are being met.
- Ensure timely submission of reports and inspection results to Management and Head Office, as may be required.
- Keep undated on Head Office and Internal Operation Procedures, Head Office Official Circulars, and regulatory laws and regulations, and (where applicable) advise relevant stakeholders.
- (Where applicable) Participate in Operations Risk Committee and any other committees, forums or dialogue sessions as part and parcel of the Bank's overall compliance and monitoring framework.
- Assist in ensuring that the Internal Operation Procedures and any other documents relating to testing are kept updated.
- A Bachelor Degree with at least 3 years of compliance experience and at least 2 years in a corporate/commercial bank.
- Experience in compliance review & testing or audit is preferred.
- Experienced in analysis, investigative and/or programming work with a can-do and will-do attitude are skills and attributes which will help the candidates perform well in this role.