Compliance Officer

Mizuho

New York, NY, USA
Base: $125,000 - $165,000; bonus/equity: discretio...
Hybrid
8 years of compliance experience
Knowledge of sec and cftc regulations
Attention to detail and organizational skills
The firm seeks a VP, Compliance Officer to ensure compliance programs are maintained and enforced

Job Summary

  • The firm seeks a VP, Compliance Officer to ensure compliance programs are maintained and enforced.
  • Responsibilities include reviewing marketing documents and conducting compliance surveillance activities.
  • The expected base salary ranges from $125,000 to $165,000 with eligibility for a discretionary bonus.

Matching Summary

The firm seeks a VP, Compliance Officer to ensure compliance programs are maintained and enforced.

Salary

Base: $125,000 - $165,000; Bonus/Equity: Discretionary bonus; Benefits: Generous employee benefits package

Skills & Requirements

Must-have

  • 8 years of compliance experience
  • Knowledge of SEC and CFTC regulations
  • Attention to detail and organizational skills

Nice-to-have

  • Experience with compliance systems
  • Knowledge of banking regulations
  • Experience with quantitative strategies

Key Requirements

  • Minimum 8 years of relevant experience
  • Knowledge of Investment Advisers Act
  • Strong research and analytical skills

Work Rights

Not specified

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