Compliance Surveillance - Vice President
Mizuho · London, England ·
This job is with Mizuho, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly. Profile Summary The Compliance function is an independent function that identifies, assesses, advises on and monitors compliance risk - that is the risk of regulatory sanctions as a result of failure to comply with applicable regulations.
The Compliance function exists to support MHBK by enabling it to conduct business lawfully, in accordance with regulatory requirements and with integrity. The main objective of the Compliance function is to provide an active advisory and monitoring service in relation to regulatory requirements, especially those of the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA).
This role has important responsibilities in helping to ensure the Compliance function effectively discharges its responsibilities. Duties and Responsibilities This position has important responsibilities in helping to ensure that the Compliance Department effectively discharges its responsibilities as defined in its terms of reference.
The job holder must develop good knowledge and understanding of the regulations applicable to the Company's business and the regulatory environment in which the Company operates. General responsibilities include: Assisting with monitoring of business, systems and controls as required.
This includes daily, monthly, yearly and ad-hoc surveillance reviews. Performing reviews of compliance with specific regulations, as directed by the Head of Advisory