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Mizuho Financial
New York, NY, United States
About The Role This individual will be responsible for reviewing the electronic communications of Mizuho employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy.
Job Source: Mizuho FinancialWells Fargo
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**About this role:** Wells Fargo is seeking a Lead Business Accountability Specialist - Electronic Communication Surveillance Specialist to assist with developing, calibrating, and implementing risk analytics, testing performance of risk analytics, and oversighting other projects and technology support initiatives within Corporate and Investment Ba
Job Source: Wells FargoPhyton Talent Advisors
New York, NY, United States
Our client a top tier international investment banking firm is seeking a Compliance Surveillance specialist to join their growing team. You will be responsible for monitoring trading across all asset classes to detect activities that could adversely impact the firm and its reputation. You will work closely with experienced staff to develop skills i
Job Source: Phyton Talent AdvisorsMizuho Financial
New York, NY, United States
About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to cond
Job Source: Mizuho FinancialHamlyn Williams
, NY, United States
A broker-dealer client of ours with a global presence is looking for a Surveillance Compliance Officer to join their growing team in Manhattan, New York. This position is hybrid, with 3-4 days a week onsite and 1-2 days working from home. Role / Responsibilities: Perform electronic communications (e-comm) surveillance reviews of both Trade and Vo
Job Source: Hamlyn WilliamsMarex Spectron
New York, NY, United States
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investm
Job Source: Marex SpectronMizuho Corporate Bank
New York, NY, United States
About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to condu
Job Source: Mizuho Corporate BankHamlyn Williams
New York, NY, United States
Surveillance Compliance Officer New York, NY – Hybrid Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer. This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply. As a Surveillance Com
Job Source: Hamlyn WilliamsNew York, NY, United States
About The Role
This individual will be responsible for reviewing the electronic communications of Mizuho employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy. The Compliance Surveillance team works closely with the other teams within Compliance, Legal and Information technology. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.
Essential Duties and Responsibilities:
Utilize surveillance systems to review communications for content, appropriateness, regulatory compliance, and the misuse of confidential information.
Identify, document, and resolve potential regulatory or compliance issues.
Assist with the review of supervisor feedback and addressing any issues raised and the enforcement and documentation of deadlines for those performing the supervisory reviews of electronic communications.
Liaise with other teams within compliance, Legal, and/or business management to assess risk and follow up on issues identified during review of communications.
Design, testing and maintenance of communication surveillances.
Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms.
Qualifications:
2-6 years experience, preferably in the financial services industry.
Strong interpersonal skills, including the ability to collaborate and work as a team.
Attention to details and strong follow-up skills.
Additional language skills preferred.
Excellent oral and written communication skills.
Ability to handle multiple tasks simultaneously and work under pressure.
MS Office tools such as Outlook, Word, and Excel skills including creating pivot tables, writing macros, and running formulas.
Knowledge of Global Relay and/or Behavox systems a plus.
Educational:
Bachelor's Degree (B.A./B.S.) in a related discipline. Advanced degree (MBA, J.D.) a plus
Series 7, Series 57, Series 24 and/or Series 4 licenses/registrations a plus
The expected base salary ranges from $125,000.00 - $160,000.00. 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.
#LI-Hybrid
#LI - NR1
Other requirements
Mizuho has in place a hybrid 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 Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill?, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.??
Mizuho Americas 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.
#LI-MIZUHO
Why Mizuho
At Mizuho, we provide the stability of an international industry leader with the career trajectory of a growing business. Our steady, strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone.
Its the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and clients who have your same ambition and drive, you can amplify your sphere of influence and base of knowledge as part of one of the largestand growingbanks in the world.
For more information, please view our Recruiting Brochure (https://www.mizuhogroup.com/binaries/content/assets/pdf/americas/share/2022/7/210298-recruitment-brochure-r02ev-20220715.pdf)
Email Alert for Compliance Electronic Communication Surveillance jobs in New York, NY, United States
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