Securities Regulatory Reporting Vice President
Description:
SEC 15c3-1 Ensures broker‑dealers maintain sufficient liquid capital to meet obligations and protect customers.
Daily net capital review and preparation- continuous monitoring required (“moment-to-moment” compliance)
Review of Early warning / notification requirements if capital declines (linked to Rule 17a‑11)
Detailed knowledge of net capital computation including haircuts and non-allowable deductions , capital ratios and internal limit thresholds
Escalation of breaches / early warning triggers to management
Review of customer reserve computations (15c3‑3)
Monitor segregation of customer vs firm assets and ensure Special reserve bank
Investigate and resolve breaks / exceptions in 15c3-1 and 15c3-3
Compilation and review of FOCUS Part II and Part IIA and supplemental reports such as Supplemental Statement of Income, Off Balance Sheet reporting , Supplemental liquidity schedule
The expected base salary ranges from $115,000 - $180,000. 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, including Medical, Dental and 401K plans, successful candidates are also eligible to receive a discretionary bonus.
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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.
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