Futures Compliance - Executive Director

Position Overview

The Executive Director of Futures Compliance will serve as a senior compliance leader for the Firm's Futures Commission Merchant (FCM) business, with primary responsibility for overseeing compliance with CFTC, NFA, and futures exchange requirements. Reporting directly to the Chief Compliance Officer (CCO), this role will provide strategic and day-to-day compliance oversight of the Firm's futures and options on futures activities, including customer protection, supervision, and regulatory engagement.

The ideal candidate will bring deep FCM regulatory expertise, strong leadership capabilities, and a practical, risk-based approach to compliance in a highly regulated operating environment.

Key Responsibilities

• Oversee and manage the Firm's futures compliance program for the FCM, including policies, procedures, supervisory controls, and compliance infrastructure

• Advise the CCO, senior management, and business stakeholders on CFTC, NFA, ESMA, FCA and exchange rules applicable to FCM operations

• Provide compliance coverage to futures trading, sales, operations, clearing, margin, and risk management functions

• Review and approve new products, customers, trading strategies, and business initiatives from a futures regulatory perspective

• Manage regulatory examinations, audits, inquiries, and ongoing communications with the CFTC, NFA, and futures exchanges

• Monitor regulatory developments and lead implementation of new or amended futures regulations impacting the FCM

• Oversee testing, monitoring, and issue management related to futures trading, operations, and financial requirements

• Develop and deliver compliance training for registered persons and relevant staff

• Conduct compliance risk assessments and contribute to the Firm's overall compliance risk framework.

• Develop compliance metrics, key risk indicators (KRIs), and senior management reporting.

• Promote a strong culture of regulatory compliance, ethical conduct, and supervisory accountability.

• Manage and mentor derivatives compliance staff.

• Participate in compliance committees, risk forums, senior management governance groups, as well as industry working groups.

• Escalate material compliance issues to the CCO and assist in investigations, remediation, and regulatory responses

• Act as a senior leader within the compliance department and contribute to firm-wide compliance initiatives

Qualifications & Experience

• Bachelor's degree required; Advance degree or JD strongly preferred

• 10+ years of futures compliance experience within an FCM, exchange, regulator, or comparable regulated entity

• Extensive knowledge of CFTC and NFA regulations applicable to FCMs, including customer protection, supervision, and financial requirements

• Strong knowledge of global derivatives regimes (EMIR, UK/EU requirements) as they impact FCM activity.

• Experience with electronic trading platforms, algorithmic trading controls, and trade surveillance systems.

• Demonstrated experience leading or managing CFTC and exchange examinations

• Strong understanding of FCM operational workflows, including clearing, margin, collateral, and reporting

• Excellent written and verbal communication skills, with experience interacting directly with regulators and senior management

Attributes for Success

• Strong regulatory judgment and ability to provide clear, practical guidance

• Confident and credible presence with regulators and internal stakeholders

• Highly organized with strong attention to detail

• Ability to balance regulatory requirements with business and operational realities

The expected base salary ranges from $200.000.00. - $250,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.

#LI-Hybrid

#LI- NR1

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 banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.

Mizuho Americas offers a competitive total rewards package.

We are an EEO/AA Employer - M/F/Disability/Veteran.

We participate in the E-Verify program.

We maintain a drug-free workplace and reserve the right to require pre- and post-hire drug testing as permitted by applicable law.

#LI-MIZUHO