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AML Compliance Manager

2 months ago

New York, New York, United States Mizuho Financial group Full time
Job Summary

Mizuho Financial Group is seeking an experienced AML Compliance Manager to lead multiple compliance testing reviews for the Americas Region. The ideal candidate will have a strong background in AML/Sanctions compliance and experience managing testing activities.

Key Responsibilities
  • Manage multiple testing activities for the Americas region, including 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 direct 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, manage factual accuracy with stakeholders, and oversee reporting to senior management.
  • Draft reports documenting agreed-upon issues with stakeholders.
  • 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.
Requirements
  • 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.