Job Summary
You will be supporting the front office businesses and back-office functions on a wide range of compliance activities. Compliance function is responsible for overseeing compliance risk management across corporate staff functions, including enterprise Risk. In addition, the Compliance group oversees regulatory requirements aligned to other Risk functions as well as a number of regulations and compliance programs that cross multiple lines of securities business.
You will be expected to work closely with Legal in the interpretation of laws and regulations and putting in place of internal policies and controls to address or mitigate any legal or compliance risks that the company may face in its businesses and operations
Responsibilities
- Provide regulatory compliance and AML/CFT advice, especially for Japanese Corporate Clients including its affiliates, to our BIG, Equity/Fixed Income Sales, DRSAP business.
- Support the Head of Compliance in managing the Company's compliance with the applicable laws and regulations as well as streamlining internal policies and procedures. Especially, in relation to regulatory requirements such as Japanese fire wall restrictions on information sharing with other group entities.
- Support the Head of Compliance in internal audit related matters including audit requirement including Head Office audit inquiries for cross-border businesses.
- Track and perform gap analysis on regulatory development relevant to the company and other affiliates including Head Office and in Hong Kong.
- Provide timely and quality advisory support to internal stakeholders.
- Review new products/services process and launch, new business initiatives and licensing requirements including business collaboration with other Securities and Banking affiliates including in Tokyo and Hong Kong.
- Provide responsive, sound, coherent and consistent compliance advice, interpretation and recommendations on regulations, policies, products and business initiatives clarify and resolve uncertainties in rules and regulations affecting business transactions and practices.
- Establish, review and update internal rules, policies and guidelines to meet best practice regulatory and industry standards, including Mizuho global policies and procedures.
- Liaise and engage with local regulators (MAS) on any regulatory concerns, and co-ordinate regulatory inspections.
- Assist and support other members of Legal and Compliance Department staff where required.
Skills and Qualifications
- 9+ years of experience in legal, compliance, operational risk management (includes audit, legal, credit risk, or the management of a process or business with accountability for compliance or operational risk) in multiple APAC markets.
- 15+ years in finance business and corporate functions includinginvestment/commercial banking and securities business.
- High degree of judgement and good problem-solving skills result-oriented to ensure sound implementation of control and compliance processes/procedures
- Speaking/writing fluency in English and Japanese is mandatory due to frequent liaison with internal stakeholders in Head Office.
- Able to communicate clearly and work with local and regional teams.
- Proficient in Microsoft Office products.
