Compliance - Associate/ AVP

at  Mizuho

WHO ARE WE?

We are not your typical financial institution. It’s our people who make us a cut above. Here, every person is respected because of their differences, not in spite of them.
We pride ourselves on a culture of purpose, passion and compassion. 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.
Working for Mizuho opens doors not just to a rewarding career with excellent prospects, but to lasting friendships with colleagues from diverse cultures. It’s the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and clients who have your same ambition, you can amplify your sphere of influence and base of knowledge as part of one of the largest—and growing—banks in the world.
What is the opportunity?
To maximize the capability of MEA CBD, in ensuring compliance towards Head Office Procedures, Internal Operating Procedures and related laws, rules and regulations of the UAE, DFSA, FSRA and DIFCA, affecting MEA CBD operations.

What will you be doing?

• Perform Compliance checks and trainings, as planned in Compliance Action Plan and report to Compliance Officer.
• Managing and updating compliance policy and procedure, in line with regulation / legislation and MHBK policy / procedure changes.
• Assisting MLRO in ensuring compliance with UAE and relevant regulators AML law and regulations.
• Educating staff about compliance policy and procedures through daily communications as well as periodical training.
• Managing and maintaining regular reporting and keeping record on compliance matters internally.
• Managing and maintaining reporting requirements including preparing reports to relevant regulators as and when necessary adherence to money laundering reporting requirements.
• Preparing for regulatory visits and audit.
• Dealing with applications for individual registrations for relevant regulated activities.
• Managing and maintaining all record keeping requirements, in compliance with regulatory and HOP requirements.
• Cooperate and coordinate with Head Office Compliance Division, EMEA Compliance functions and other MHBK/MFG Compliance function.
• Check documents (e.g. presentation material, gift and entertainment sheet etc.) as required by relevant regulation, policy and procedures.
• Providing advise to Business Development staff on compliance and AML matters in relation to business development activities.
• Perform KYC checks on client files and to perform client classification exercise.
• Promptly report to the Compliance Officer and General Manager of HO Compliance Promotion Department, in regards to any suspected compliance violation.
• Handling other compliance related matters which are raised by the General Manager of the Compliance Promotion Department. However, the regulatory matters are to be prioritised.
• Other compliance and AML related maintenance and development work directed from time to time.
• Take responsibility for any other ad-hoc job tasks to be requested by MD(GM) or MD(JGM).

What will you be doing?

• Perform Compliance checks and trainings, as planned in Compliance Action Plan and report to Compliance Officer.
• Managing and updating compliance policy and procedure, in line with regulation / legislation and MHBK policy / procedure changes.
• Assisting MLRO in ensuring compliance with UAE and relevant regulators AML law and regulations.
• Educating staff about compliance policy and procedures through daily communications as well as periodical training.
• Managing and maintaining regular reporting and keeping record on compliance matters internally.
• Managing and maintaining reporting requirements including preparing reports to relevant regulators as and when necessary adherence to money laundering reporting requirements.
• Preparing for regulatory visits and audit.
• Dealing with applications for individual registrations for relevant regulated activities.
• Managing and maintaining all record keeping requirements, in compliance with regulatory and HOP requirements.
• Cooperate and coordinate with Head Office Compliance Division, EMEA Compliance functions and other MHBK/MFG Compliance function.
• Check documents (e.g. presentation material, gift and entertainment sheet etc.) as required by relevant regulation, policy and procedures.
• Providing advise to Business Development staff on compliance and AML matters in relation to business development activities.
• Perform KYC checks on client files and to perform client classification exercise.
• Promptly report to the Compliance Officer and General Manager of HO Compliance Promotion Department, in regards to any suspected compliance violation.
• Handling other compliance related matters which are raised by the General Manager of the Compliance Promotion Department. However, the regulatory matters are to be prioritised.
• Other compliance and AML related maintenance and development work directed from time to time.
• Take responsibility for any other ad-hoc job tasks to be requested by MD(GM) or MD(JGM)