Control Room Equity Research - Compliance

Mizuho•New York, NY

6d•$200,000•Hybrid

About The Position

About the Team The Americas Compliance Department (“ACD”) manages compliance risk and provides compliance support services in the United States for Mizuho Bank, Ltd. and its U.S. subsidiary bank, Mizuho Bank (USA) and Mizuho Americas LLC, the U.S. bank holding company for Mizuho Financial Group. ACD manages compliance and regulatory risk by establishing compliance policies, providing training, advising on U.S. regulatory matters, monitoring anti-money laundering and know your customer matters, conducting compliance reviews, and coordinating regulatory examinations. Essential Duties & Responsibilities: This position is for a Control Room Officer with focus on Equity Research Serve as the Compliance Subject Matter Expert on Information Barriers Serve as Subject Matter Expert to Equity Research Group Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program. Assist on the maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams Serve as subject matter expert to advise research, sales and trading on various restrictions Assist the business with research vetting’s from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research. Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies Review and approve equity research as needed Respond to Internal Audit and regulatory inquiries Execute projects as assigned by supervisor and/or Compliance senior management. Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff. Required Background & Skills: Seeking a highly motivated individual who is willing to actively participate as part of the Mizuho’s Compliance team. The candidate must: Think analytically and provide advice based on sound judgment Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the ’34 SEC Act), research rules (e.g., FINRA Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M Work effectively in a team environment and foster effective relationships Be able to react in a fast-paced environment, managing a wide variety of requests Be able to work positively and make decisions under time pressure Be able to interpret and apply SEC, FINRA and other regulatory rules

Requirements

Think analytically and provide advice based on sound judgment
Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the ’34 SEC Act), research rules (e.g., FINRA Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M
Work effectively in a team environment and foster effective relationships
Be able to react in a fast-paced environment, managing a wide variety of requests
Be able to work positively and make decisions under time pressure
Be able to interpret and apply SEC, FINRA and other regulatory rules
Bachelor’s degree
Minimum of 10 years of relevant Compliance or Control Room experience
FINRA Broker Dealer experience
Strong knowledge of financial markets and products
Outstanding analytical and organizational skills
Experience leading and delivering on projects
Excellent communications skills (verbal and written)

Nice To Haves

Experience on desk trading surveillance related to Watch and Restricted list preferred
FINRA licenses (e.g., Series 7, 24) preferred
Master’s Degree or J.D. a plus

Responsibilities

Serve as the Compliance Subject Matter Expert on Information Barriers
Serve as Subject Matter Expert to Equity Research Group
Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
Assist on the maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
Serve as subject matter expert to advise research, sales and trading on various restrictions
Assist the business with research vetting’s from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research.
Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies
Review and approve equity research as needed
Respond to Internal Audit and regulatory inquiries
Execute projects as assigned by supervisor and/or Compliance senior management.
Participate in the drafting of compliance related policies and procedures.
Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.

Benefits

In addition to salary and a generous employee benefits package, including but not limited to Medical, Dental and 401k that begin on day one of employment, successful candidates are also eligible to receive a discretionary bonus.

Stand Out From the Crowd

Upload your resume and get instant feedback on how well it matches this job.

Upload and Match Resume