Top 10 Mizuho compliance Jobs in New York Ny

Compliance Officer
Mizuho Americas —New York, NY
- $125,000 - $165,000 a year
- Full-time
- Hybrid work
- Research
- Office
- 8 years
Regulatory Reporting Innovation & Transformation Lead
Mizuho Americas —New York, NY
- $200,000 - $280,000 a year
- Full-time
- Hybrid work
- Agile
- Senior level
- Communication skills
Securities Regulatory Reporting Vice President
Mizuho Americas —New York, NY
- $115,000 - $180,000 a year
- Full-time
- Hybrid work
- Office
- Senior level
- Health insurance
- Dental insurance
Client Onboarding - Investment Advisors/Funds Group - Associate
Mizuho Americas —New York, NY
- $77,000 - $105,000 a year
- Full-time
- Mid-level
- Analysis skills
- Bachelor's degree
2d
Associate / AVP - Securities Regulatory Reporting (15c3-1 and 15c3-3)
Mizuho Americas —New York, NY
- $88,000 - $125,000 a year
- Full-time
- Hybrid work
- Research
- Mid-level
- Office
- Health insurance
- Dental insurance
IT Auditor
Mizuho Americas —New York, NY
- $127,000 - $200,000 a year
- Full-time
- Hybrid work
- 7 years
- Mid-level
- Bachelor's degree
Legal Counsel – Equity Finance
Mizuho Americas —New York, NY
- $230,000 - $275,000 a year
- Full-time
- Hybrid work
- Contracts
- Senior level
- Negotiation
2d
Financial Regulatory Reporting VP
Mizuho Americas —New York, NY
- $115,000 - $185,000 a year
- Full-time
- Hybrid work
- 7 years
- CPA
- Office
- Health insurance
- Dental insurance
8d
KYC Analyst (Japanese bilingual)
Mizuho Americas —New York, NY
- $85,000 - $100,000 a year
- Full-time
- Writing skills
- English
- Mid-level
Financial Regulatory Reporting - AVP
Mizuho Americas —New York, NY
- $91,000 - $140,000 a year
- Full-time
- Hybrid work
- CPA
- 5 years
- Mid-level
- Health insurance
- Dental insurance

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Compliance Officer

Mizuho Americas -
New York, NY

Apply Now

Job Details

Full-time
$125,000 - $165,000 a year

Qualifications

Research
Legal compliance

Full Job Description

locations

NYC 250 Park (AMO)

time type

Full time

posted on

Posted 7 Days Ago

job requisition id

R6809

A New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO) is seeking a VP, Compliance Officer.

Vice President (Compliance) Job Description:

Provide compliance support to ensure that the firm’s compliance programs are implemented, maintained and enforced in accordance with the applicable rules and regulations including the Investment Adviser Act of 1940 and the Commodity Exchange Act.
Review pitch books, monthly reports, DDQs, RFPs and other marketing documents. Participate in investor operational due diligence.
Conduct various day-to-day compliance surveillance activities including Code of Ethics and Code of Conduct supervision and enforcement (including personal trade review and monitoring, distribution and review of quarterly and annual Code of Ethics reporting, requesting, collecting and reviewing third party statements as necessary, maintaining restricted lists, gift and entertainment reviews, and political contribution reviews), conflicts management, electronic communications reviews, best execution reviews, broker reviews, account list maintenance, and AML/OFAC due diligence reviews, etc.
Prepare and submit various compliance reports to the committees and the headquarters as necessary.
Manage and administer compliance trainings.
Assist the CCO with updating and maintaining policies and procedures as necessary including assisting in getting managerial approval of updated policies and distributing policies to staff.
Assist with the firm’s regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR etc.).
Assist with information/document requests from regulators, auditors, and compliance consultants.
Conduct service provider due diligence.
Keep the firm current with new rules, regulations and other compliance requirements.

Qualifications:

Minimum 8 years of registered investment adviser and/or hedge fund legal or compliance experience.
Knowledge of investment advisory and commodity trading advisory services and arrangements, and related regulatory requirements.
Knowledge of the Investment Advisers Act, Investment Company Act, SEC and CFTC/NFA regulations.
Attention to detail. Accurate and timely recordkeeping and organizational skills.
Strong research, analytical and problem-solving skills.
Proven ability to work well independently, with limited direct oversight, and in a team environment.
Excellent written and oral communication skills in a diverse workspace.
Organizational and time management skills; ability to prioritize and manage multiple projects.
Knowledge of compliance systems, experience with ComplySci and ComplianceAlpha is a plus.
Experience with quantitative strategies a plus.
Work experience in a large financial group a plus.
Knowledge of banking regulations a plus.
Experience with performance calculations is a plus.

The expected base salary ranges from $125,000 - $165,000 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.

#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. 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.

Asset Management One USA Inc. offers a competitive total rewards package.

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.

LI-MIZUHO

About Us

Why Mizuho

Mizuho is in growth mode as we are climbing the league tables, disrupting the status quo, and attracting top talent. Positions are available across our corporate functions, and on our corporate and investment banking, capital markets, advisory, research, sales & trading, derivatives, and financing teams.

We are looking for candidates who want to contribute to our entrepreneurial culture where people at all levels are inspired to share ideas. Our creativity sets us apart, and our perseverance drives results in creating bespoke, client-focused solutions.

If you are interested in advancing your career working for a firm with a growth mindset and the resources of a global financial services team, we would like to hear from you.

Apply Now

Refine Your Search

mizuho compliance jobs in new york ny

Compliance Officer

Regulatory Reporting Innovation & Transformation Lead

Securities Regulatory Reporting Vice President

Client Onboarding - Investment Advisors/Funds Group - Associate

Associate / AVP - Securities Regulatory Reporting (15c3-1 and 15c3-3)

IT Auditor

Legal Counsel – Equity Finance

Financial Regulatory Reporting VP

KYC Analyst (Japanese bilingual)

Financial Regulatory Reporting - AVP

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