Description:
You will work collaboratively within the Mizuho London Compliance Advisory team primarily to support the Mizuho Bank European Treasury Dept (ETD) business and associated corporate functions by providing day-to-day Compliance support, guidance and advice, while performing key Compliance projects, monitoring and assessment responsibilities. ETD core business activities include FX, Loans and Derivatives sales and trading, and asset/ liability management for Mizuho Bank London Branch.
In Performing This Role
- You will identify, understand and help implement applicable rules and regulations, ensuring that ETD has appropriate policies, procedures and controls in place.
- You will identify regulatory trends and developments and advise the business on how these trends and developments may impact their current activities and work with them to implement policy and control changes required.
- You will provide an active real-time compliance advisory service to the business and address any regulatory queries they may have.
- You will create, implement and maintain Compliance-owned policies and procedures.
- You will play a key role in managing Compliance risk by identifying problems and potential weaknesses in ETD activities, conduct or controls, escalating these to management and developing recommendations.
- You will assist with performing ongoing Compliance risk assessments and monitoring ETD business activity in accordance with the Compliance Monitoring Plan. This may include providing support to the surveillance team, performing trade and/or communications analysis and assisting with any internal investigations which may result.
- You will collaborate closely with Compliance colleagues and business management on regulatory implementation projects, perform reviews of compliance with specific regulations, and assist with due diligence, investigations or audits as directed by senior L&C management.
- You will assist in preparing and providing training on compliance risks, regulatory and conduct matters.
- You will assist with other tasks as may be assigned from time-to-time.
Qualifications, Skills And Experience
- Previous experience within Compliance markets advisory/ surveillance or other regulatory role.
- A good understanding of key PRA/ FCA rules, key UK and EU regulations (MiFID II; MAR; EMIR), Money Laundering Regulations and industry best practice (e.g. Global FX Code; UK Money Markets Code);
- Familiarity with Fixed Income (including FX, Credit and Rates) products
- Undergraduate degree or equivalent experience