A New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO) is seeking a VP, Compliance Officer.
Vice President (Compliance) Job Description:
- Provide compliance support to ensure that the firm’s compliance programs are implemented, maintained and enforced in accordance with the applicable rules and regulations including the Investment Adviser Act of 1940 and the Commodity Exchange Act.
- Review pitch books, monthly reports, DDQs, RFPs and other marketing documents. Participate in investor operational due diligence.
- Conduct various day-to-day compliance surveillance activities including Code of Ethics and Code of Conduct supervision and enforcement (including personal trade review and monitoring, distribution and review of quarterly and annual Code of Ethics reporting, requesting, collecting and reviewing third party statements as necessary, maintaining restricted lists, gift and entertainment reviews, and political contribution reviews), conflicts management, electronic communications reviews, best execution reviews, broker reviews, account list maintenance, and AML/OFAC due diligence reviews, etc.
- Prepare and submit various compliance reports to the committees and the headquarters as necessary.
- Manage and administer compliance trainings.
- Assist the CCO with updating and maintaining policies and procedures as necessary including assisting in getting managerial approval of updated policies and distributing policies to staff.
- Assist with the firm’s regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR etc.).
- Assist with information/document requests from regulators, auditors, and compliance consultants.
- Conduct service provider due diligence.
- Keep the firm current with new rules, regulations and other compliance requirements.
Qualifications:
- Minimum 8 years of registered investment adviser and/or hedge fund legal or compliance experience.
- Knowledge of investment advisory and commodity trading advisory services and arrangements, and related regulatory requirements.
- Knowledge of the Investment Advisers Act, Investment Company Act, SEC and CFTC/NFA regulations.
- Attention to detail. Accurate and timely recordkeeping and organizational skills.
- Strong research, analytical and problem-solving skills.
- Proven ability to work well independently, with limited direct oversight, and in a team environment.
- Excellent written and oral communication skills in a diverse workspace.
- Organizational and time management skills; ability to prioritize and manage multiple projects.
- Knowledge of compliance systems, experience with ComplySci and ComplianceAlpha is a plus.
- Experience with quantitative strategies a plus.
- Work experience in a large financial group a plus.
- Knowledge of banking regulations a plus.
- Experience with performance calculations is a plus.
The expected base salary ranges from $125,000 - $165,000 Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
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Other requirements
Mizuho has in place a hybrid working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as local laws and regulatory obligations. Roles in some of our departments have greater in-office requirements that will be communicated to you as part of the recruitment process.
Company Overview
Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.
Asset Management One USA Inc. offers a competitive total rewards package.
We participate in the E-Verify program.
We maintain a drug-free workplace and reserve the right to require pre- and post-hire drug testing as permitted by applicable law.
LI-MIZUHO
