Mizuho, a leading global financial services group, is seeking a Vice President (VP) Compliance Officer for its New York-based asset management division. This role is integral to ensuring the firm's compliance with applicable regulations, including the Investment Adviser Act of 1940 and the Commodity Exchange Act. The position is based at 250 Park Avenue, New York, NY, and offers a hybrid work arrangement.

As a VP Compliance Officer, you will be responsible for implementing, maintaining, and enforcing the firm's compliance programs. Your duties will include reviewing marketing materials such as pitch books, monthly reports, and due diligence questionnaires, as well as participating in investor operational due diligence. You will conduct daily compliance surveillance activities, including monitoring personal trades, enforcing codes of ethics and conduct, managing conflicts, reviewing electronic communications, and ensuring adherence to anti-money laundering and OFAC regulations. Additionally, you will prepare compliance reports, manage training programs, assist with regulatory filings, and stay updated on new compliance requirements.

The ideal candidate will have a minimum of 8 years of experience in legal or compliance roles within registered investment advisory or hedge fund settings. A strong understanding of investment advisory and commodity trading advisory services, along with knowledge of relevant regulations such as the Investment Advisers Act, Investment Company Act, SEC, and CFTC/NFA regulations, is essential. Attention to detail, strong research and analytical skills, and the ability to work independently and collaboratively are crucial. Excellent written and oral communication skills, organizational and time management abilities, and proficiency with compliance systems are also required.

The expected base salary for this position ranges from $125,000 to $165,000 annually. In addition to the salary, Mizuho offers a generous employee benefits package and eligibility for a discretionary bonus. The company has a hybrid working program, with varying opportunities for remote work depending on the role and departmental needs.

Mizuho Financial Group, Inc. is the 15th largest bank globally, with total assets of approximately $2 trillion. With 60,000 employees worldwide, Mizuho provides comprehensive financial services to clients in 35 countries and 800 offices across the Americas, EMEA, and Asia. Mizuho Americas offers corporate and investment banking services to clients in the US, Canada, and Latin America, employing approximately 3,500 professionals. The company fosters a culture of compliance and ethical standards, providing opportunities for professional growth and development.