Compliance Surveillance Analyst Essential Duties & Responsibilities:
- Maintain and monitor employee brokerage accounts. Timely follow-up with onboarding users, account disclosures and brokerage firms, to establish or remove accounts from electronic data feeds as well as ensure continual receipt of brokerage feed.
- Statement tracking and review of non-feeding accounts or accounts in transition.
- Conduct trading surveillance for personal employee trading, employees brought over the wall, and firm trading related to watch and restricted lists.
- Prepare and analyze trading data for Key Risk reporting and respond to Internal Audit requests
- Analyze and maintain trading data while performing and developing surveillance reviews.
- Maintain shared email box and provide Policy guidance to employees, vendors, and business partners' inquiries in a timely manner.
- Assess Public/Private access requirements
- Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
- Has the ability to operate with a limited level of direct supervision
- Can exercise independence of judgement and autonomy
- 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
- Acts as SME to senior stakeholders and /or other team members
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Qualifications:
- General knowledge of insider trading laws, rules, regulations and risks.
- 7+ years experience with handling compliance issues in a U.S. financial institution/broker dealer, including related to insider trading monitoring, and information barriers
- Excellent project management and organizational skills with capability to handle multiple projects at one time
- Proven ability to prioritize
- Excellent research and analytical skills
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Demonstrated interpersonal skills with the ability to work collaboratively (team player a must) and with people at all levels of the organization
- Adaptable to change and willing to work in a fast paced environment with a positive attitude
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Sophisticated in the ability to use technology in a compliance setting
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 $150,000.00 -$180,000.0. 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.
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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. Roles in some of our departments have greater in-office requirements that will be communicated to you as part of the recruitment process .
Company Overview
Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit 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 reserve the right to require pre- and post-hire drug testing as permitted by applicable law.
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