Compliance Surveillance Analyst Job at Mizuho Americas
AVP, Compliance Surveillance Analyst Essential Duties & Responsibilities:
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Maintain and monitor employee and consultant brokerage accounts. Timely follow-up with registering users, account disclosures and brokerage firms, to establish or remove accounts from electronic data feeds
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Maintain shared email box and respond and provide Policy guidance to employees, vendors, and business partners’ inquiries in a timely manner
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Maintain consultant tracking and assess Public/Private access requirements.
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Watch list/Restricted list maintenance as needed
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General knowledge of insider trading laws and regulations. Experience with handling compliance issues in a U.S. financial institution, including related to insider trading monitoring, policy and procedure control, information wall crossings
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Conduct trading surveillance for employees brought over the wall, personal employee trading and firm trading related to watch and restricted lists
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Sophisticated in the ability to use technology in a compliance setting
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Prepare and analyze trading data for Key Risk reporting and respond to Internal Audit requests
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Reviewing data and analysis of surveillance and trading activity while also developing, maintaining and performing surveillance reviews.
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Identifying potential risks for the Firm and escalating matters as appropriate
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Generating reports, performing data analysis, and providing troubleshooting support on multiple projects. Supporting aspects of planning and executing projects to assist the Firm in complying with regulatory and legal requirements.
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Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
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Has the ability to operate with a limited level of direct supervision.
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Can exercise independence of judgement and autonomy
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Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Mizuho, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
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Acts as SME to senior stakeholders and /or other team members
Qualifications:
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Knowledge of Compliance laws, rules, regulations and risks
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A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
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Excellent research and analytical skills
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Excellent written and verbal communication skills
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Must be a self-starter, flexible, innovative and adaptive
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Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
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Excellent project management and organizational skills and capability to handle multiple projects at one time
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Proficient in MS Office applications (Excel, Word, PowerPoint)
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Adaptable to change and willing to work in a fast paced environment with a positive attitude
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Team player a must
Education and other certifications:
Bachelor’s degree; experience in a financial services firm, regulatory organization, or legal/consulting firm. Advanced degree and/or FINRA licenses preferred.
The expected base salary ranges from $104,250 -$150,000. 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.
Other requirements
Mizuho has in place a remote working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as local laws and regulatory obligations.
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 mizuhoamericas.com.
Mizuho Bank Ltd. offers a competitive total rewards package.
We are an EEO/AA Employer - M/F/Disability/Veteran.
We participate in the E-Verify program.
We maintain a drug-free workplace and perform pre-employment substance abuse testing.
#LI-MIZUHO
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