Derivatives Regulatory Compliance Officer

Brief Description: The Regulatory Compliance Officer will be responsible to assist in the development and administration of regulatory implementation, regulatory examination and inquiry management, and annual risk assessment, among other duties in connection with the regulatory obligations of Mizuho entities registered as Swap Dealers (SD), Security Based Swap Dealers (SBSD), and OTC Derivatives Dealers (OTCDD).
Responsibilities. The individual in this role will be responsible to:

• Participate in the evaluation of new and amended regulations, primarily with respect to CFTC, SEC, and NFA SD and SBSD regulations, for applicability to Mizuho Capital Markets LLC and its US affiliates.
  • Work with Business and Infrastructure managers, as well as with other Compliance staff, to assess impact of new and amended regulations and agree plans to implement policies, procedures, and controls to comply with new requirements in a timely manner.
  • Track progress on agreed regulatory implementation plans and escalate issues as needed.
• Manage the intake of regulatory inquiries and the coordination of responses to ensure timeliness and completeness.
• Assist with the coordination of NFA, CFTC, and SEC regulatory examinations and requests, including:
  • Assignment of deliverables to internal stakeholders and tracking of responses;
  • Preparation and submission of responses; and
  • Coordination of meetings between regulators and internal stakeholders.
• Assist the CCO and other team members with other compliance program enhancement projects and BAU functions, as needed.

Qualifications. The ideal candidate for this role will have:

• Bachelor's degree. JD or other graduate degree, a plus.
• 3-7 years experience working in a Swap Dealer, Broker Dealer, Futures Commission Merchant, or investment banking environment, with at least 2 years in a Compliance or Audit function. Experience working for a financial regulator, a plus.
• Excellent oral and written communication skills.
• Strong organizational skills and close attention to detail.
• Ability to analyze data and strong desire to learn new subject matter.
• Familiarity with Title VII of the Dodd-Frank Act.

The expected base salary ranges from $104,250 -$135,000. 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.
Other requirements
Mizuho has in place a remote 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.
Company Overview
Mizuho Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho's operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at mizuhoamericas.com.
Mizuho Bank Ltd. offers a competitive total rewards package.
We are an EEO/AA Employer - M/F/Disability/Veteran.
We participate in the E-Verify program.
We maintain a drug-free workplace and perform pre-employment substance abuse testing.
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