Regulatory Relations (Finance)

About the Team

The Mizuho U.S. Operations ("MUSO") Regulatory Affairs Group is responsible for managing the Bank's regulatory relationships and supervisory engagement across MUSO, ensuring that the company remains compliant with all relevant regulations and maintains strong relationships with regulators. The group is responsible for managing regulatory examinations, reviews, continuous monitoring, inquiries, firmwide regulatory projects and other regulatory-related matters. Additionally, the department oversees regulatory change management, which involves monitoring and analyzing new and emerging regulations, assessing their impact on the organization, and implementing necessary changes to ensure ongoing compliance.

Summary

The Regulatory Relations Team is seeking an Assistant Vice President ("AVP") to primarily support and coordinate supervisory examinations, routine continuous monitoring meetings and other regulatory interactions. The AVP will also assist in the oversight of regulatory remediation program and associated reporting to senior management and regulators. The AVP will liaise and collaborate with relevant, firm-wide stakeholders to ensure regulatory deliverables are comprehensively addressed in a timely manner.

Responsibilities

• Assist in the Management of Supervisory Examinations and Routine Continuous Monitoring Activities:
• Support business and control functions in examinations. Responsibilities include, but not limited to, setting up exam SharePoint site, drafting regulatory responses with stakeholders, developing briefing materials and regulatory meeting presentation materials, taking meeting minutes, setting up internal preparation meetings and tracking regulatory requests and firm's responses.

• Assist in the Management of the Remediation Program Framework:
• Assist in various remediation workstreams to support the firmwide regulatory remediation program.
• Support business and control functions in regulatory findings remediation. Responsibilities include, but not limited to, drafting Management Response Letter and remediation plan with stakeholders, developing regulatory meeting presentation materials, taking meeting minutes, setting up internal meetings and tracking and monitoring milestones.
• Develop BAU reports to manage and track the status of regulatory deliverables
• Facilitate escalation and resolution of any material issues, delays or stakeholder conflicts.
• Assist in the monthly Regulatory Remediation Oversight Committee, including analysis of regulatory activity data, development of meeting materials and minutes.
• Assist in the development of presentations for various internal committees and senior management.
• Maintain data integrity related to regulatory commitments within the firm's GRC tool.
• Enhance Regulatory Awareness within the Firm:
• Collaborate with Regulatory Change Management Team to keep abreast of the changes in laws, rules and regulations.
• Assist in the preparation of weekly Regulatory Highlights and briefing materials for senior management.

Qualifications

• Bachelor's degree or equivalent required.
• 5+ years of experience in financial institution.
• Banking/Regulatory Experience:

• General knowledge of financial products and businesses, risk stripes, operations, treasury, compliance, financial crimes and IT/cyber risks.
• Direct experience in Regulatory Affairs function.
• Familiarity with the regulatory oversight process as it relates to FRB, DFS, and other U.S. regulators.
• Experience in review of bank regulations related to bank holding companies/intermediate holding companies.

• Technical Skills:

• Excellent verbal and written communication skills, including high level of attention to details.
• High proficiency in all of Microsoft Office Suites, especially Excel and PowerPoint.
• Ability to work with SharePoint and GRC tools, including proposing and executing enhancements and assessing the impact to end users, reporting, etc.

• Execution Skills:

• Highly organized to meet difficult deadlines across multiple regulators and businesses.
• High attention to details to ensure accurate regulatory deliverables.
• Ability to execute some BAU programs and operations with minimal supervision.
• Ability to engage with internal stakeholders and develop strong internal network across businesses and control functions.
• Experience in operating in large, complex organizations.

The expected base salary ranges from $127,000.00K - $150,000.00k. 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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