Senior Officer, Compliance (Regulatory & Policy)

Mizuho Bank
11 Nov 2018
13 Nov 2018
Contract type
Full time
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
Your key roles & responsibilities include:

  • Disseminate, review and advise on Consultation Papers and new/ revised regulations, including collating feedback from relevant stakeholders.
  • Assist in driving and/or collaborate with relevant Compliance Partners in the implementation of new/ changes in regulations, including reviewing gap analysis.
  • Keep abreast of regulatory changes and industry practices and advise relevant stakeholders of the same.
  • Assist stakeholders in applications or requests to MAS.
  • Act as coordinator in liaising with stakeholders and collating requisite information/ data in response to queries, information requests, questionnaires, survey, inspections, etc. as may be required by MAS, ABS and any other regulatory bodies or industry bodies.
  • Liaise with external auditors.
  • Disseminate information on regulatory/ compliance matters, such as MAS/ ABS circulars and notifications, as well as information on regulatory changes to relevant stakeholders.
  • Assist in the enhancement of compliance framework and structure, including developing compliance training program.
  • Ensure prompt escalation of issues and concerns to Team Lead and Section Head in an appropriate manner.
  • Collaborate with respective teams in the Compliance section in ad-hoc compliance related projects.
  • Keep undated on Head Office and Internal Operation Procedures, Head Office Official Circulars, and regulatory laws and regulations, and (where applicable) advise relevant stakeholders.
  • Assist in the development, implementation, review and revision of Compliance Manual, Compliance Risk Management Manual and Internal Operation Procedures.
  • (Where applicable) Organise/ participate in Compliance Committee Meeting, Compliance Forum and any other committees, forums or dialogue sessions as part and parcel of the Bank's overall compliance and monitoring framework.
  • Perform administrative work as may be necessary.

Job Requirements
  • Bachelor's Degree
  • At least 5 years' of relevant experience in the Compliance function, preferably minimum 3 years in regulatory compliance
  • Knowledgeable in regulations (including the Banking Act, SFA and FAA), and have kept up with regulatory and industry trends
  • Strong organisation skills will be beneficial as the role entails driving projects/ working groups/ taskforce involving multiple stakeholders

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