AVP - Securities Regulatory Reporting (15c3-1 and 15c3-3)

Mizuho•New York, NY

13d•$91,000 - $125,000•Hybrid

About The Position

Summary: In this position, you will leverage your background in accounting / finance and be responsible for securities regulatory reporting with a specific focus on futures. Regulatory Reporting, responsibilities including: Preparation of daily 15c3-1 daily net capital computation for all regulated entities. Weekly and month end preparation of the 15c3-3 customer reserve calculation. Compute moment-to-moment capital charges on underwriting deals and track confirmed sales on underwriting deals. Run and manage Axiom software for regulatory haircuts and charges. Prepare the monthly and quarterly regulatory reports. Reconcile trade details to general ledger to ensure adequacy of accounting records. Coordination with multiple groups across the organization to confirm financial data and static data for regulatory reports. Maintenance/update procedure documentation related to new regulatory requirements to ensure firm’s compliance. Participate in the research and implementation of new and revised regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions Ad hoc projects and reporting, as requested. Qualifications: DataIku or Alteryx experience is a plus. Regulatory or Accounting experience in the financial industry. Series 27 must be obtained prior or after employment. Bachelor's degree in Accounting or Finance preferred. Microsoft Excel proficient The expected base salary ranges from $91,000 - $125,000. 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. #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 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 Why Mizuho Mizuho is in growth mode as we are climbing the league tables, disrupting the status quo, and attracting top talent. Positions are available across our corporate functions, and on our corporate and investment banking, capital markets, advisory, research, sales & trading, derivatives, and financing teams. We are looking for candidates who want to contribute to our entrepreneurial culture where people at all levels are inspired to share ideas. Our creativity sets us apart, and our perseverance drives results in creating bespoke, client-focused solutions. If you are interested in advancing your career working for a firm with a growth mindset and the resources of a global financial services team, we would like to hear from you. For more information, please view our Recruiting Brochure

Requirements

Regulatory or Accounting experience in the financial industry.
Series 27 must be obtained prior or after employment.
Bachelor's degree in Accounting or Finance preferred.
Microsoft Excel proficient

Nice To Haves

DataIku or Alteryx experience is a plus.

Responsibilities

Preparation of daily 15c3-1 daily net capital computation for all regulated entities.
Weekly and month end preparation of the 15c3-3 customer reserve calculation.
Compute moment-to-moment capital charges on underwriting deals and track confirmed sales on underwriting deals.
Run and manage Axiom software for regulatory haircuts and charges.
Prepare the monthly and quarterly regulatory reports.
Reconcile trade details to general ledger to ensure adequacy of accounting records.
Coordination with multiple groups across the organization to confirm financial data and static data for regulatory reports.
Maintenance/update procedure documentation related to new regulatory requirements to ensure firm’s compliance.
Participate in the research and implementation of new and revised regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions
Ad hoc projects and reporting, as requested.