Compliance - Banking Risk and Control, Associate Compliance - Banking Risk and Control, Associate …

Mizuho Bank
in New York, NY, United States
Permanent, Full time
Be the first to apply
Mizuho Bank
in New York, NY, United States
Permanent, Full time
Be the first to apply
Compliance - Banking Risk and Control, Associate
Position Summary

The Banking Risk and Control Associate will assist with the assigned functions, as outlined below, and support the development, implementation, and maintenance of a regulatory compliance program through risk and control activities across various lines of business, banking offices, securities offices and operating departments


The Associate's day to day responsibilities will:
  • Monitor and track Banking's compliance with policies and procedures
  • Provide real time advice / guidance on policy, procedure and / or regulatory requirements to the business
  • Review marketing materials, as a S24 delegate, prior to external distribution in order to determine compliance with policy, procedure and regulatory requirements,
  • Conduct email reviews, as a S24 delegate, as required by MSUSA policy and procedures
  • Conduct email reviews, as required by Bank policies and procedures
  • Prepare monthly reports of compliance metrics to Banking senior management
  • Manage monthly S24 meetings with Sector / Unit Heads within Banking
  • Execute required Compliance, Head Office, and other necessary reporting requirements
  • Fulfill role of Banking's key risk contact for certain key risk categories within the Operational Risk framework
  • Coordinate Banking's responses to information requests from internal audit, internal testing teams, as well as external auditors
  • Conduct testing of controls to determine effectiveness within the first line of defense, as well as to develop creative automated solutions to address testing needs and present information in a concise and comprehensive manner
  • Draft and update policies and procedures, and prepare training materials
  • Manage and document results of Reputational Risk Reviews within Banking
  • Identify, analyze and escalate compliance and/or regulatory issues within Banking to determine their root cause and work with others to resolve the issues
  • Assist with the creation of an enhanced Banking Risk and Control platform
  • Assist with the implementation of changes to the Compliance Risk Management platform, as well as internal policies and procedures, to understand impact and ensure compliance review procedures are updated as appropriate.
  • Stay current on regulatory changes
  • Interact and maintain highly effective partnerships with line of business management and staff
  • Provide assistance, support and management of other projects as assigned

  • Eligible to work in the US
  • Bachelor's degree, JD preferred
  • 5+ years of relevant work experience
  • Strong understanding of Capital Markets business
  • Series 79 and Series 24 required or the ability to obtain the Series 79 and 24 within the first 6 months of employment
  • Latin America experience a plus
  • Broad working knowledge of laws and regulations related to areas of assignment
  • Demonstrated ability to develop project plans and independently coordinate and complete projects in a timely manner
  • Strong Critical Thinking and Problem Solving Skills
  • Self-starter
  • Ability to analyze complex laws and regulations
  • Quick and accurate reading comprehension
  • Efficient and Accurate record keeping
  • Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
  • Ability to influence others' actions and decisions without express of authority
  • Proficiency in Microsoft Office Suite and other utility applications (e.g., Adobe Acrobat, PowerPoint, and Excel)

Company Overview
Mizuho Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho's operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at

Mizuho offers a competitive total rewards package.
We are an EEO Employer - M/F/Disability/Veteran.