Assistant Vice President, Compliance Policy & Surveillance Team, Legal & Compliance Section Assistant Vice President, Compliance Policy &  …

Mizuho Bank, Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 07 Apr 20
Mizuho Bank, Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 07 Apr 20
Legal & Compliance Section is responsible for the overall co-ordination of compliance related matter. It designs and carries out the compliance program. It also provide internal legal consultancy including draft and/or review the legal documents to be used in the branch.

Company Overview

Mizuho Bank, Limited has a long-term commitment to the Hong Kong market.   With a strong global connection and a workforce of over 600 staff in Hong Kong, Mizuho Bank, Limited, is able to help corporations in Hong Kong to expand their business worldwide.   Our clients comprise Japanese and non-Japanese corporations including PRC related ones, financial institutions, government and quasi-government organizations, etc.  We provide a full spectrum of corporate banking services to our customers including syndication loans, treasury, transaction banking, financial advisory, project finance, merger and acquisition, leveraged finance, structured finance, etc.

Why Mizuho

At Mizuho, we provide the stability of an international industry leader with the career trajectory of a growing business. Our steady, strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone.

It’s the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and clients who have your same ambition and drive, you can amplify your sphere of influence and base of knowledge as part of one of the largest—and growing—banks in the world.

Role requirements

  • To assist in managing the General Compliance functions;
  • To serve as a consultant to provide compliance-related advice to relationship managers;
  • To assist in planning, supervising and delivering compliance programs;
  • To assist in reviewing and updating compliance related policies and procedures and manuals;
  • To assist in monitoring and performing the requests made by HKMA and relevant regulatory bodies;
  • To assist in reviewing and analyzing new regulatory and statutory requirements;
  • To lead and support the implementation of compliance-related and any ad-hoc projects. 

Essential Functions

  • The individual comprehend laws and regulations and update changes and new development from time to time;
  • He/she ensure implementation of effective compliance program in different units of the branch;
  • The individual develops and carries out the training program;
  • He/she is responsible conducting regular compliance testing program in relation to different control measures;
  • The individual provides compliance advisory to colleagues.


  • We are looking for an individual who has mind-set to make improvements for higher productivity and performance;
  • Continuously acquiring necessary knowledge through day to day work and training, the individual should learn to work independently or in a team;
  • The individual respects for and commits to high standards of business conduct and integrity in conducting operations, reporting and etc.

Work experience, education and skills

  • Bachelor’s Degree or above in Accounting/ Finance/ Business/ Legal/ Risk Management or related disciplines;
  • 4 years’ experience in general compliance/ compliance review/ audit, preferably gained from financial institutions or Big Four; with exposure to corporate banking business an advantage;
  • Strong analytical and logical thinker;
  • Ability to multi-task and a good team player;
  • Proficiency in English and Cantonese; fluency in Mandarin an advantage.

Mizuho Bank, Limited

Mizuho Bank Limited is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG). The Mizuho group is a global financial services leader with offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Mizuho provides expertise in retail banking, corporate finance, investment banking, asset management, capital markets, and sales and trading, to help businesses develop and find new opportunities for growth. To learn more:

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