Compliance Trade Surveillance

About the Role

The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading activity that could adversely affect the firm and its reputation.

The surveillance professional will work closely with experienced staff and develop the capacity to conduct high quality routing surveillance.

Essential Duties and Responsibilities :

Review, research, and appropriately respond to alerts identified on the Firm’s suite of Trade surveillance platforms.

Assess the current Trade surveillance program and identify opportunities for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practices.

Assist with the updating of the Firm’s policies and procedures and related documentation to reflect any amendments made to the Trade surveillance program.

Review transaction reports to ensure accuracy and take remedial action as needed.

Provide report review status updates and activities to senior compliance officers and other key stakeholders.

Contribute to the implementation of a third-party trade surveillance platform.

Assist with the reporting improvement requests and bug remediation requests with IT teams.

Keep abreast of regulatory changes, new regulations, and internal policy changes to further identify new key risk areas.

Prepare responses to information requests from internal and external auditors or regulatory bodies.

Performs other duties and responsibilities as assigned.

Qualifications :

3-5 years in the financial services industry at a broker / dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions

Knowledge of the governing body rules and regulations, including the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA), and those of the applicable exchanges.

Experience with Nasdaq Workstation (ACT), Consolidated Audit Trail (CAT), and FINRA TRAQS (ORF & TRACE)

Knowledge of best practices, and surveillance procedures of securities industry compliance reviews

Strong organizational and delivery skills

Excellent written, verbal and analytical skills with the ability to express ideas in a persuasive, confident, organized, concise, clear and articulate manner.

Must be a self-starter, flexible, innovative, adaptive, and highly motivated with a strong attention to detail.

Knowledge of QUOD OMS, TradingHub, BTCA and / or Eventus Validus systems a plus.

Educational :

Bachelor's Degree (B.A. / B.S.) in a related discipline. Advanced degree (MBA, J.D.) a plus

Series 7, Series 57, Series 24 and / or Series 4 licenses / registrations a plus

The expected base salary ranges from $125,000.00 -$160,000.00. 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.

LI-Hybrid

LI - NR1

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.