Compliance Electronic Communication Surveillance

About The Role

This individual will be responsible for reviewing the electronic communications of Mizuho employees to mitigate reputational and regulatory risk to the firm.

The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy.

The Compliance Surveillance team works closely with the other teams within Compliance, Legal and Information technology.

Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.

Essential Duties and Responsibilities :

• Utilize surveillance systems to review communications for content, appropriateness, regulatory compliance, and the misuse of confidential information.
• Identify, document, and resolve potential regulatory or compliance issues.
• Assist with the review of supervisor feedback and addressing any issues raised and the enforcement and documentation of deadlines for those performing the supervisory reviews of electronic communications.
• Liaise with other teams within compliance, Legal, and / or business management to assess risk and follow up on issues identified during review of communications.
• Design, testing and maintenance of communication surveillances.
• Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms.

Qualifications :

• 2-6 years’ experience, preferably in the financial services industry.
• Strong interpersonal skills, including the ability to collaborate and work as a team.
• Attention to details and strong follow-up skills.
• Additional language skills preferred.
• Excellent oral and written communication skills.
• Ability to handle multiple tasks simultaneously and work under pressure.
• MS Office tools such as Outlook, Word, and Excel skills including creating pivot tables, writing macros, and running formulas.
• Knowledge of Global Relay and / or Behavox systems a plus.

Educational :

• Bachelor's Degree (B.A. / B.S.) in a related discipline. Advanced degree (MBA, J.D.) a plus
• Series 7, Series 57, Series 24 and / or Series 4 licenses / registrations a plus

The expected base salary ranges from $125,000.00 - $160,000.00. 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

LI - NR1

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.