Derivatives Regulatory Compliance Officer
Company: Mizuho Financial Group Inc.
Location: New York
Posted on: May 28, 2023
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Derivatives Regulatory Compliance Officer Apply locations New York,
NY (1271 AOA/6th Ave) time type Full time posted on Posted 9 Days
Ago job requisition id R4344 Brief Description: The Regulatory
Compliance Officer will be responsible to assist in the development
and administration of regulatory implementation, regulatory
examination and inquiry management, and annual risk assessment,
among other duties in connection with the regulatory obligations of
Mizuho entities registered as Swap Dealers (SD), Security Based
Swap Dealers (SBSD), and OTC Derivatives Dealers (OTCDD).
Responsibilities. - The individual in this role will be responsible
- Participate in the evaluation of new and amended regulations,
primarily with respect to CFTC, SEC, and NFA SD and SBSD
regulations, for applicability to Mizuho Capital Markets LLC and
its US affiliates.
- Work with Business and Infrastructure managers, as well as with
other Compliance staff, to assess impact of new and amended
regulations and agree plans to implement policies, procedures, and
controls to comply with new requirements in a timely manner.
- Track progress on agreed regulatory implementation plans and
escalate issues as needed.
- Manage the intake of regulatory inquiries and the coordination
of responses to ensure timeliness and completeness.
- Assist with the coordination of NFA, CFTC, and SEC regulatory
examinations and requests, including:
- Assignment of deliverables to internal stakeholders and
tracking of responses;
- Preparation and submission of responses; and
- Coordination of meetings between regulators and internal
- Assist the CCO and other team members with other compliance
program enhancement projects and BAU functions, as needed.
Qualifications. - The ideal candidate for this role will have:
- Bachelor's degree. JD or other graduate degree, a plus.
- 3-7 years experience working in a Swap Dealer, Broker Dealer,
Futures Commission Merchant, or investment banking environment,
with at least 2 years in a Compliance or Audit function. Experience
working for a financial regulator, a plus.
- Excellent oral and written communication skills.
- Strong organizational skills and close attention to
- Ability to analyze data and strong desire to learn new subject
- Familiarity with Title VII of the Dodd-Frank Act.The expected
base salary ranges from $104,250 -$135,000. 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
OverviewMizuho 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 Similar Jobs (1) Compliance Surveillance
Analyst locations New York, NY (1271 AOA/6th Ave) time type Full
time posted on Posted 2 Days Ago About Us Why MizuhoAt Mizuho, we
provide the stability of an international industry leader with the
career trajectory of a growing business. Our steady, strategic
growth gives our people at all levels rewarding degrees of
responsibility and a richer work experience than a boutique firm or
an established giant could offer alone.It's the local expertise of
our employees that makes our global network so powerful. By
collaborating with colleagues and clients who have your same
ambition and drive, you can amplify your sphere of influence and
base of knowledge as part of one of the largest-and growing-banks
in the world.For more information, please view our Recruiting
Keywords: Mizuho Financial Group Inc., New York , Derivatives Regulatory Compliance Officer, Accounting, Auditing , New York, New York
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