Non-Financial Regulatory Reporting

Mizuho•New York City, NY

15h•Hybrid

About The Position

Operations Regulatory Reporting is a newly created team within Operations that is responsible for the execution and submission of regulatory reports to the various regulators. The team’s daily operations ensure the bank meets its regulatory reporting obligations and that data is reported in an accurate and timely manner. They proactively look for process improvements, investigate issues and propose solutions ahead of submission (where possible) to ensure accurate submissions. Further, the team plays a key role (in collaboration with legal, compliance, IT, etc) in the analysis, requirements specifications, and implementation of new regulatory reporting requirements as relevant to their remit. The Operations Regulatory Reporting Officer position will play a key role in the development of this newly created team to ensure the bank meets its obligations to deliver timely, complete, and accurate regulatory reports. They will be responsible for executing and monitoring these reports on the appropriate cadence (e.g. daily, monthly, quarterly, etc). They will also proactively investigate and remediate any breaks or issues ahead of submission to ensure reporting integrity. They should be comfortable and competent in working with large data sets. Additionally, in this role, the individual will need to understand the various complex regulatory rules and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders (e.g., legal, compliance, IT, etc.) to support the creation and maintenance of these reports. This role will provide the individual the opportunity to expand their expertise in the regulatory reporting space and contribute to the creation and expansion of this new team. The role reports into the Head of Operations Regulatory Reporting.

Requirements

Bachelor’s degree or equivalent combination of education and work experience required.
Accounting or Finance concentration preferred
2+ years of work experience preferred at a large financial institution, knowledge of regulatory reporting and controls
Solid understanding of key financial products particularly equities, fixed income and derivatives instruments
Strong experience in one of the key product areas covered by the team (e.g., equities, fixed income, derivatives, etc.)
Comfortable working with data and using it to proactively identify potential reporting issues
Strong written and oral communication skills and ability to work within a team in a dynamic environment
Knowledge of various FINRA, SEC, or CFTC regulations
Experience with various regulatory reports (e.g. CAT, CAIS, EBS, LOPR, etc)
Highly organized, strong attention to details, and methodical approach to analysis
Goal driven and self-motivated
Eligibility to work in local market

Nice To Haves

Experience designing processes and controls preferred

Responsibilities

Generate, submit, and/or monitor various regulatory reports on a daily, monthly, quarterly, cadence as appropriate
Contribute to end-to-end regulatory reporting process design and implementation
Assist in the design and implementation of a control framework
Execute controls over the end-to-end process as appropriate
Contribute to the analysis and research required to transform data into information for reporting purposes
Leverage large data sets to investigate issues and ensure data quality and integrity
Engage with the appropriate stakeholders on various regulatory changes to understand the impacts and requirements
Take the lead on analysis and implementation of regulatory reporting solutions
Work with IT to specify requirements for new and/or existing regulatory reports
Provide presentations, information and/or recommendations to senior management as requested
Assist in the rollout of new regulatory reporting platform
Establish strong working relationships with multiple areas across Mizuho including treasury, risk, accounting, product controls, legal, etc.