Assistant Vice President, Compliance
- Permanent, Full time
- Mizuho Bank
- 16 Aug 17
Asia & Oceania Administration Department - Compliance
Mizuho Bank, Ltd. is a subsidiary of the Japan-based Mizuho Financial Group, Inc. (listed on the Tokyo Stock Exchange and NYSE) and is one of the largest financial services companies in the world. Mizuho Bank, Ltd. provides financial and strategic solutions for the increasingly diverse and sophisticated needs of its clients with offices located in all the major cities of the world such as Tokyo, New York, London, Hong Kong and Singapore.
Overview of Division/Department
Our Compliance (CPL), a member of our Asia & Oceania Administration Department, is in charge of formulating and maintaining the compliance framework to ensure our compliance with internal and external regulations.
(Internal Corporate Title: Assistant Manager)
Your key roles & responsibilities include:
- Generally assist the Team Lead of Compliance Review & Testing team (within Compliance) in the day-to-day running of the team.
- Supports Team Lead in planning of Compliance reviews and checks as part of the Compliance Action Program. Responsible for the execution of planned and ad-hoc compliance reviews and checks (including telephone and electronic communication surveillance as part of the SIBOR rate submission governance framework) in a timely manner.
- Assist in the execution of intra-office inspections (as part of the Intra-Office Inspection Plan).
- Ensure prompt escalation of issues and concerns to Team Lead and Section Head in an appropriate manner.
- Assist in identifying areas of weakness where compliance should be prioritized, and advise and provide recommendations and guidance to stakeholders so as to improve/ rectify any weakness identified.
- Ensure timely submission of reports and inspection results to Management and Head Office, as may be required.
- Keep abreast of regulatory changes and industry practices, and (where applicable) tailor our compliance review, checks and inspection policies and procedures to align with new developments.
- Keep undated on Head Office and Internal Operation Procedures, Head Office Official Circulars, and regulatory laws and regulations, and (where applicable) advise relevant stakeholders.
- (Where applicable) Participate in Compliance Committee Meeting, Compliance Forum, Operations Risk Committee, Rate Submission Oversight Committee and any other committees, forums or dialogue sessions as part and parcel of the Bank's overall compliance and monitoring framework.
- Provide guidance and training to team members and/or stakeholders, as may be required or beneficial.
- Assist in ensuring that the Compliance Manual, Compliance Risk Management Manual, Internal Operation Procedures, and the Intra-Office Inspection Guidebook, relating to compliance reviews/ testing and inspections are up to date.
What you should have:
- A Bachelor Degree with at least 5-7 years of compliance experience and at least 5 years in a corporate/commercial bank.
- Experience in compliance review & testing or audit is preferred.
- Experienced in analysis, investigative and/or programming work with a can-do and will-do attitude are skills and attributes which will help the candidates perform well in this role.
Join Mizuho Bank, Ltd., in Singapore, and be part of our expanding team, passionate to build the future together. One MIZUHO: Building the future with you.