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Mizuho · 5 hours ago

Control Room Equity Research - Compliance

New York, NY

Full-time

Hybrid

Senior Level, Lead/Staff

10+ years exp

Mizuho is a leading financial services provider with a strong presence in the Americas. They are seeking a Control Room Officer to manage compliance risk and support the Equity Research Group by serving as a subject matter expert and developing relationships with key stakeholders.

BankingFinancial ServicesImpact Investing

Comp. & Benefits

H1B Sponsor Likely

Responsibilities

Serve as the Compliance Subject Matter Expert on Information Barriers

Serve as Subject Matter Expert to Equity Research Group

Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program

Assist on the maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams

Serve as subject matter expert to advise research, sales and trading on various restrictions

Assist the business with research vetting’s from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research

Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies

Review and approve equity research as needed

Respond to Internal Audit and regulatory inquiries

Execute projects as assigned by supervisor and/or Compliance senior management

Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff

Qualification

Compliance Subject Matter ExpertMNPI rulesFINRA Broker Dealer experienceFinancial markets knowledgeDesk trading surveillanceAnalytical skillsOrganizational skillsCommunication skillsProject managementTeamwork

Required

Bachelor's degree

Minimum of 10 years of relevant Compliance or Control Room experience

FINRA Broker Dealer experience

Strong knowledge of financial markets and products

Outstanding analytical and organizational skills

Experience leading and delivering on projects

Excellent communications skills (verbal and written)

Think analytically and provide advice based on sound judgment

Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the '34 SEC Act), research rules (e.g., FINRA Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M

Work effectively in a team environment and foster effective relationships

Be able to react in a fast-paced environment, managing a wide variety of requests

Be able to work positively and make decisions under time pressure

Be able to interpret and apply SEC, FINRA and other regulatory rules

Preferred

Experience on desk trading surveillance related to Watch and Restricted list

FINRA licenses (e.g., Series 7, 24)

Master's Degree or J.D

Benefits

Medical

Dental

401k

Company

Mizuho

This is not your typical financial institution. It’s our people who make us a cut above.

Tokyo, Tokyo, JPN

10001+ employees

https://www.mizuhogroup.com

H1B Sponsorship

Mizuho has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (49)

2024 (23)

2023 (43)

2022 (12)

2021 (10)

2020 (1)