About the Team The Americas Compliance Department (“ACD”) manages compliance risk and provides compliance support services in the United States for Mizuho Bank, Ltd. and its U.S. subsidiary bank, Mizuho Bank (USA) and Mizuho Americas LLC, the U.S. bank holding company for Mizuho Financial Group. ACD manages compliance and regulatory risk by establishing compliance policies, providing training, advising on U.S. regulatory matters, monitoring anti-money laundering and know your customer matters, conducting compliance reviews, and coordinating regulatory examinations.

　　This is a hybrid role requiring 2 to 3 days in our New York City office

　　Essential Duties & Responsibilities:This position is for a Control Room.

　　Serve as the Compliance Subject Matter Expert on Information Barriers

　　Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.

　　Assist on the maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams

　　Serve as subject matter expert to advise research, sales and trading on various restrictions

　　Assist the business with research vetting’s from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research.

　　Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies

　　Review and approve equity research as needed

　　Respond to Internal Audit and regulatory inquiries

　　Execute projects as assigned by supervisor and/or Compliance senior management.

　　Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.

　　Required Background & Skills:Seeking a highly motivated individual who is willing to actively participate as part of the Mizuho’s Compliance team. The candidate must:

　　Think analytically and provide advice based on sound judgment

　　Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the ’34 SEC Act), research rules (e.g., FINRA Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M

　　Work effectively in a team environment and foster effective relationships

　　Be able to react in a fast-paced environment, managing a wide variety of requests

　　Be able to work positively and make decisions under time pressure

　　Be able to interpret and apply SEC, FINRA and other regulatory rules

　　Qualifications:

　　Bachelor’s degree

　　Minimum of 10 years of relevant Compliance or Control Room experience

　　FINRA Broker Dealer experience

　　Strong knowledge of financial markets and products

　　Outstanding analytical and organizational skills

　　Experience leading and delivering on projects

　　Excellent communications skills (verbal and written)

　　Experience on desk trading surveillance related to Watch and Restricted list preferred

　　FINRA licenses (e.g., Series 7, 24) preferred

　　Master’s Degree or J.D. a plus

　　The expected base salary ranges from $170,000.00 - $225,000.00. 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.

　　#LI-Hybrid

　　Other requirements

　　Mizuho has in place a hybrid 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 the fastest growing region within Mizuho Financial Group (NYSE: MFG), the 15th largest bank in the world with total assets of approximately $2 trillion. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America and our capabilities span investment and corporate banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Mizuho Americas employs more than 3,000 professionals across 15 offices within the Americas. Learn more at www.mizuhoamericas.com.​

　　Mizuho Americas 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

　　Why Mizuho

　　At 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 Brochure (https://www.mizuhogroup.com/binaries/content/assets/pdf/americas/share/2022/7/210298-recruitment-brochure-r02ev-20220715.pdf)