Control Room Equity Research - Compliance
Mizuho Financial(1 month ago)
About this role
Control Room Officer focused on Equity Research within Mizuho Americas Compliance Department. The role supports U.S. regulatory compliance for Mizuho Bank and its U.S. affiliates, providing subject-matter expertise on information barriers and equity research matters. The position works closely with business and risk stakeholders to support compliance programs, policies, and regulatory interactions.
Required Skills
- Information Barriers
- Equity Research
- MNPI
- Research Rules
- Regulation M
- Watch Lists
- Restricted Lists
- Regulatory Interpretation
- Project Management
- Communication
Qualifications
- Bachelor’s Degree
- 10+ Years Compliance Experience
- FINRA Broker-Dealer Experience
- FINRA Licenses (Series 7, Series 24) Preferred
- Master’s Degree or J.D. Preferred
About Mizuho Financial
mizuhogroup.comMizuho Financial Group is a financial partner that helps customers shape their future and achieve their dreams.
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