Assistant Vice President, General Compliance Team, Legal and Compliance Section

2 weeks ago

hong kong, Hong Kong SAR China Mizuho Bank, Ltd Full time

Company Overview

Mizuho has a long-term commitment to the Hong Kong market. With strong ties to Mizuho’s global network and a workforce of over 600 staff in Hong Kong, we are able to help corporations in Hong Kong to expand their business worldwide. Our clients primarily comprise Japanese and non-Japanese corporations (including those domiciled in the PRC), financial institutions, and government and quasi-government organizations. We provide a full spectrum of corporate banking services to our customers including syndicated loans, treasury, transaction banking, financial advisory, project finance, merger and acquisition, leveraged finance, and structured finance.

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.

It is 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 largest—and growing—banks in the world.

About the team

Legal & Compliance Section is responsible for the overall co-ordination of legal and compliance related matters within the bank and its associated entities. It designs and carries out the compliance program. It also provides internal legal consultancy including draft and/or review the legal documents to be used in the branch.

Role requirements

  • To assist in managing the General Compliance ("GC") functions;
  • To serve as a consultant to provide compliance-related advice to relationship managers (preferably having knowledge in investment related compliance);
  • To assist in planning, supervising and delivering compliance programs;
  • To assist in implementing GC functions and meeting goals set by Head Office and Regional Compliance functions. 
  • To assist in reviewing and updating compliance related policies and procedures and manuals;
  • To assist in monitoring and attending to the requests made by the HKMA and relevant regulatory bodies;
  • To assist in reviewing and analyzing new regulatory and statutory requirements;
  • To lead and/or support the implementation of compliance-related and any ad-hoc projects.

Essential Functions

  • The individual shall apprehend and comprehend with the relevant laws and regulations with business acumen and to update any changes and apprehend any new development from time to time;
  • The individual shall ensure implementation of effective compliance program in different units of the branch and to be able to implement any regional or Head office compliance related program or goals set forth;
  • The individual shall be able to identify and report any risk, non-compliance issues to seniors and advise on any mitigating factors;
  • The individual shall develop and carry out the relevant training program;
  • The individual  shall be responsible for conducting regular compliance testing program in relation to different control measures;
  • The individual shall provide compliance advisory support for the Bank and to participate and report in compliance related committee as appropriate
  • The individual shall embed with essential communication skills communicating across regions and head office in order to understand any particular requirement and execute any compliance program or such other transformation program, as the case may be.
  • The individual shall be a team player and willing to work and cover other team members as and when required

Competencies

  • We are looking for an individual who possess with mind-set to make continuous improvements for higher productivity and performance in banking and finance compliance arena;
  • Continuously acquiring requisite knowledge in the field through day to day work and training, the individual should learn to work independently or in a team;
  • The individual respects for and commits to high standards of business ethics, conduct and integrity in the sphere of banking and finance arena, in particularly, its related compliance area.

Work experience, education and skills

  • Bachelor’s Degree or above in Accounting/ Finance/ Business/ Legal/ Economics/ Risk Management or related disciplines;
  • 4 years’ experience in compliance, preferably gained from financial institutions or professional firms.
  • Be analytical, logical and attentive to details;
  • Proficiency in MS Office, including Word, Excel and PowerPoint; Familiar with MS Access would be a plus;
  • Good command of English and Cantonese; fluent Mandarin/Japanese would definitely be an advantage;
  • Ability to multi-task and a good team player.

Application

Please indicate your current and expected salary on CV for the application.

Mizuho Bank Limited

Mizuho Bank, Ltd. in Hong Kong is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG). The Mizuho group is a global financial services leader with offices in nearly 40 countries, approximately 60,000 employees, and assets of almost USD 2 trillion. Mizuho provides expertise in retail banking, corporate finance, investment banking, asset management, capital markets, and sales and trading, to help businesses develop and find new opportunities for growth. To learn more:

Personal data collected will be kept in strict confidence, and will be used for recruitment purpose only.


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