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About the Team The Risk Regulatory Affairs team is responsible for managing the Risk Relationship with Regulatory Authorities that perform an oversight of Mizuho's US Operations.
Summary The Risk Regulatory Affairs team is seeking a Vice President to oversee and manage the Regulatory Issue Management process that was established within Mizuho's US Operations to ensure that all regulatory issues are properly evaluated, reviewed, managed and addressed.
Perform management of the Regulatory Issue Management Process across Mizuho US Operations, including:
Oversight of the Regulatory Issue Management Process to ensure that the process is performed in accordance with the Regulatory Issue Management Standard.
Organize the Regulatory Issues Management Forum that is performing an oversight of the Regulatory Issue Management Process. Prepare necessary meeting material and reporting packages.
Perform guidance and training of issue owners to ensure that all aspects of the Regulatory Issue Process are understood by all stakeholders.
Facilitate resolution and escalation of Issue ownership conflicts. Follow-up on escalation of issues.
Perform management of the Inventory of Regulatory Issues:
Regulatory Inventory includes Issues across all Regulators (FRB, SEC, FINRA, NFA, NYDFS, etc.) and across all Mizuho US Operations business lines and Legal entities.
Establishment and management of the ongoing dialogue with Business stakeholders where the Regulatory Issue was raised and to update regulatory issues in the inventory management system - ARCHER.
Assist issue owners with development of remediation efforts that will address regulatory criticism.
Review information received and liaising with the stakeholders, to ensure that the information provided is correct/as expected vs. other sources.
Prepare Regulatory Issues Management Information and reporting.
Obtain qualitative updates (from regulatory letters, discussion with issue/plan owners, etc.) and include this information in slides for various management committees
Review and challenge updates submitted by Issue owners with respect to Regulatory Issues.
Management of Regulatory Issues in the Issue Management System - ARCHER:
Participate in the development of the Regulatory Issue management System with appropriate IT resources.
Conduct UAT testing to ensure System integrity on new deployments and enhancements
Liaise with IT support to ensure resolution of issues raised by stakeholder in relation to the Regulatory Issue management System
Develop automated reporting from the Issue Management System
Perform training of end users with respect of Regulatory Issue Management process and Archer system capabilities.
Assist Head of US Operations Risk Regulatory Affairs to develop overall "Risk Regulatory Agenda": areas of work to support current or potential regulatory concerns or initiatives.
Assist with facilitation of changes to policies and procedures to address outstanding Regulatory Issues
Produce regular reporting and presentations on regulatory and audit coverage for management
Assist with analysis of key upcoming regulatory guidance to assess level of compliance with current practice
Develop strong internal network across businesses and control functions in order to maintain detailed knowledge of the internal strategy and practices
Familiarity with the regulatory oversight process as it relates to FRB, FINRA, SEC and other US Regulators.
Excellent verbal and written communication skills
Excellent organizational skills to accommodate difficult deadlines across several multiple regulators and businesses
General knowledge of financial products and businesses, including loans, underwriting business, products in the securities markets, futures and derivatives, operations in a bank's treasury department, market credit, operations risks and supporting IT systems.
Ability to influence others and achieve objectives without direct reporting supervision.
Ability to work with limited supervision to determine and execute appropriate regulatory agenda
Experience of operating in large, complex organizations;
Experience in executing programs and strategies across large, complex organizations
Experience in review of regulations related to bank holding companies/intermediate holding companies (bank regulatory capital requirements under FRB guidelines and Basel Accords, enhanced prudential standards under Dodd-Frank and Volcker Rule requirements)
Company Overview Mizuho Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho's operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at mizuhoamericas.com.
Mizuho Bank Ltd. offers a competitive total rewards package. We are an EEO/AA Employer - M/F/Disability/Veteran. We participate in the E-Verify program. We maintain a drug-free workplace and perform pre-employment substance abuse testing. #LI-MIZUHO
Internal Number: 6482116
About Mizuho Bank
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