AML ATO

SUMMARY:

Manages multiple AML/Sanctions compliance testing reviews for Americas Region.

PRINCIPAL DUTIES AND RESPONSIBILITIES:

Manage multiple testing activities for the Americas (Brazil, Canada, Mexico and NY).

Serve as examiner-in-charge, responsible for all phases of BSA/AML/Sanctions compliance testing review, planning, fieldwork and wrap-up.

Prepare information requests, announcement memoranda, planning memoranda and kick-off memoranda to start reviews.

Perform Control Design Effectiveness analysis and review of the rules and regulations under review.

Develop testing scripts.

Perform assigned field work to validate the effectiveness of internal controls and directs oversight of assigned staff and their assignments.

Ensure that cohesive work papers are prepared for each assigned engagement in accordance with department standards.

Identify underlying issues and escalation/validation thereof with stakeholders.

Draft exceptions logs, manages factual accuracy with stakeholders and oversees reporting to senior management.

Draft reports documenting agreed with stakeholders’ issues.

Record and track identified issues and corrective action plans.

Involved in issue management, challenge and closures of identified issues.

Keep abreast of changing regulatory requirements and Mizuho’s business model to maintain a solid foundation of applicable regulatory framework.

JOB QUALIFICATIONS AND SKILLS:

Bachelor’s degree in business, finance, or a related field.

CAMS certification a plus.

7+ years of Banking and BSA/AML Compliance experience.

Must have strong managerial experience with a track record of working in a collaborative environment

Ability to learn and navigate challenging situations and juggle multiple tasks.

Able to dissect complicated issues within a large and complex financial institution.

Solid understanding of the US BSA/AML/Sanctions Regulatory Framework.

Understanding of Brazil, Mexico or Canada AML/CFT Regulatory Framework a plus.

Strong Communications and Written skills.

Motivated, action-oriented, self-starter and can work independently.

Adaptable, able to evolve and change with the Bank’s transformation.

International travel required in relation to individual assigned reviews.

#LI-Hybrid

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.

Roles in some of our departments have greater in-office requirements that will be communicated to you as part of the recruitment process.   

Company Overview

Mizuho Financial Group, Inc.

is the 15th largest bank in the world as measured by total assets of ~$2 trillion.

Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia.

Mizuho Americas is a leading provider of corporate and investment bankin...