Asia & Oceania Administration Department - Compliance
Overview of Division/Department
Our Compliance (CPL), a member of our Asia & Oceania Administration Department, is in charge of formulating and maintaining the compliance framework to ensure our compliance with internal and external regulations. Company Profile
Mizuho Bank, Ltd. is a subsidiary of the Japan-based Mizuho Financial Group, Inc. (listed on the Tokyo Stock Exchange and NYSE) and is one of the largest financial services companies in the world. Mizuho Bank, Ltd. provides financial and strategic solutions for the increasingly diverse and sophisticated needs of its clients with offices located in all the major cities of the world such as Tokyo, New York, London, Hong Kong and Singapore. Job Responsibilities
- Assist the Team Lead in carrying out the functions of Central Compliance team.
- Assist in executing the Bank's Compliance programs, namely:
- Compliance Action Program
- Information Control Action Program
Each program comprises of compliance checks and training (mainly eClass).
- Conduct email audit, as well as first level review of emails and chats (i.e. Bloomberg chats) and such other testing of controls as may be required under the Information Control framework.
- Responsible for processing applications made under such Compliance procedures as may be designated to the team (e.g. entertainment and gift procedures) and the general administration of such procedures in a timely manner.
- Ensure timely submission of reports to Management and Head Office, as may be required.
- Keep an update on Head Office Official Circulars and (where applicable) disseminate the information to relevant stakeholders.
- Ensure prompt escalation of issues and concerns to Team Lead in an appropriate manner.
- Keep abreast of regulatory changes and industry practices, and (where applicable) tailor our Compliance programs and procedures to align with new developments.
- Perform administrative work as may be necessary.
Degree with at least a year prior experience in compliance
Good understanding on compliance regulations
Ability to engage internal and external stakeholders from various levels
This position will be on a 1-year contract.