Securities Compliance Officer

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?
The Dubai Compliance team is responsible for supporting and advising the business on effective and prudent management of its regulatory responsibilities and integrity risks. Mizuho’s UAE footprint comprises two legal entities: the Dubai Branch of Mizuho Bank Japan, and the Dubai Branch of MHI, a UK-regulated entity based in London. This role has been created to bring additional expertise in securities and investment banking into the Compliance team, which currently comprises three staff.

What will you be doing?

• Act as the team’s subject matter expert for the securities and investment-banking activities in the UAE and the broader MEA region
• Ensure that the risks and relevant controls in the local securities business are fully considered in the local compliance framework, including regulatory horizon-scanning and rules mapping, risk assessment, design and operations of controls, training, monitoring and reporting, as well as regulatory liaison.
• Liaise on a day-to-day basis and on strategic matters with the compliance department of MHI in London, to ensure that messages to the business are aligned and consistent
• Act as deputy to the Head of Bank Branch Compliance, providing cover in his absence.
• Mentor and train more junior members of staff to build their knowledge of the securities business.

• Act as the team’s subject matter expert for the securities and investment-banking activities in the UAE and the broader MEA region
• Ensure that the risks and relevant controls in the local securities business are fully considered in the local compliance framework, including regulatory horizon-scanning and rules mapping, risk assessment, design and operations of controls, training, monitoring and reporting, as well as regulatory liaison.
• Liaise on a day-to-day basis and on strategic matters with the compliance department of MHI in London, to ensure that messages to the business are aligned and consistent
• Act as deputy to the Head of Bank Branch Compliance, providing cover in his absence.
• Mentor and train more junior members of staff to build their knowledge of the securities business