At a Glance
- Tasks: Monitor compliance risks and ensure adherence to regulations in a dynamic environment.
- Company: Join Mizuho, a forward-thinking investment bank with a commitment to integrity and compliance.
- Benefits: Enjoy a competitive salary, hybrid working, 27 days leave, and wellbeing support.
- Other info: Embrace flexible working arrangements and be part of an inclusive culture.
- Why this job: Make a real impact by ensuring regulatory compliance and supporting business growth.
- Qualifications: Experience in compliance or regulatory roles, with knowledge of PRA/FCA rules.
The predicted salary is between 80000 - 100000 £ per year.
Profile Summary
The Compliance function is an independent function that identifies, assesses, advises on and monitors compliance risk – that is the risk of regulatory sanctions as a result of failure to comply with applicable regulations.
The Compliance function exists to support MHBK by enabling it to conduct business lawfully, in accordance with regulatory requirements and with integrity.
The main objective of the Compliance function is to provide an active advisory and monitoring service in relation to regulatory requirements, especially those of the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA).
This role has important responsibilities in helping to ensure the Compliance function effectively discharges its responsibilities.
Duties and Responsibilities
- This position has important responsibilities in helping to ensure that the Compliance Department effectively discharges its responsibilities as defined in its terms of reference.
- The job holder must develop good knowledge and understanding of the regulations applicable to the Company’s business and the regulatory environment in which the Company operates.
General responsibilities include
- Assisting with monitoring of business, systems and controls as required.
This includes daily, monthly, yearly and ad-hoc surveillance reviews.
- Performing reviews of compliance with specific regulations, as directed by the Head of Advisory & Conduct or the Head of Surveillance.
The job holder has a key role in identifying problems and potential weaknesses from surveillance activities and developing recommendations for management with regards thresholds and risk to improve the quality of MHI’s Surveillance function.
- Dealing with general regulatory queries from staff (where appropriate, discussing the issues with other department members before responding).
- Providing general assistance and support to the department.
Specific responsibilities include
- Undertaking specific compliance monitoring work covering the main regulations which apply to the Company’s business including:
- Trade surveillance, including transactions in watchlist entities, unusual transactions and front running research
- E-Comms & v-Comms surveillance for inappropriate conduct or possible market abuse
- Personal account trading activity
- Relevant short sell regulations
- Account opening and account reviews
- Assisting in maintaining the restricted dealing list and watchlist to ensure they are kept up to date, including undertaking conflicts of interest checks.
- Assisting the MLRO in maintaining the sanctions monitoring system and reviewing potential sanctions breaches reported.
- Dealing with queries on client categorisation.
- Other tasks as may be assigned from time-to-time.
Qualifications, Skills, and Experience
- Previous experience within Compliance or other regulatory role.
- Previous experience in auditing or monitoring.
- Basic knowledge of PRA/FCA rules and Money Laundering Regulations.
- Basic knowledge of the types of products traded by investment banks and their features.
- An understanding of operational controls within the overall internal control structure of securities companies/investment banks.
- Educated to degree level or equivalent.
- Relevant regulatory qualification.
- What Mizuho can offer you
Here at Mizuho, there are fantastic progression opportunities and clear paths to promotion. We will give you ample opportunity to affect change and to help grow our business.
- In addition to the great opportunity outlined above we are also currently able to offer:
- Competitive starting salary, plus discretionary bonus
- Non-contributory pension
- 27 days’ annual leave
- Core working hours*
- Hybrid working
- office and home based*
- Virtual GP
- Wellbeing benefits, including Mental Health Allies and First Aiders
- For applicable roles only
At Mizuho, we embrace flexible ways of working when the role permits.
We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working.
Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
At Mizuho we are committed to supporting equality, diversity and equality, and seek to create a workplace that is fully inclusive.
We welcome applications from all sections of the community that we operate in and from all ethnic backgrounds, sexual orientation, beliefs, gender identities and disabilities.
If you require more information about our equal opportunities policy or wish to discuss any accessibility requirements or reasonable adjustments please contact the recruitment team – recruitment@mizuhoemea. com and we will be happy to help.
Compliance Surveillance - Vice President in London employer: Mizuho
Mizuho is an excellent employer, offering a dynamic work environment where innovation in security technology is at the forefront. With a strong focus on employee growth and development, team members benefit from hybrid working arrangements, competitive benefits such as a non-contributory pension, and ample annual leave, all while contributing to meaningful projects that enhance security measures. Join us in a culture that values collaboration and excellence, making a real impact in the field of cyber security.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Surveillance - Vice President in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Mizuho looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Surveillance - Vice President in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Mizuho. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Mizuho
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Mizuho’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
