Securities Regulatory Reporting Vice President

Mizuho•New York, NY

2d•$115,000 - $180,000•Hybrid

About The Position

This role is responsible for ensuring broker-dealers maintain sufficient liquid capital to meet obligations and protect customers. It involves daily net capital review and preparation, continuous monitoring for "moment-to-moment" compliance, and review of early warning/notification requirements if capital declines (linked to Rule 17a-11). The position requires detailed knowledge of net capital computation, including haircuts and non-allowable deductions, capital ratios, and internal limit thresholds. It also involves escalation of breaches/early warning triggers to management, review of customer reserve computations (15c3-3), monitoring segregation of customer vs firm assets, and ensuring the Special reserve bank. The role includes investigating and resolving breaks/exceptions in 15c3-1 and 15c3-3, and compilation and review of FOCUS Part II and Part IIA and supplemental reports such as Supplemental Statement of Income, Off Balance Sheet reporting, and Supplemental liquidity schedule.

Requirements

SEC 15c3-1 knowledge
Rule 17a-11 knowledge
Knowledge of net capital computation including haircuts and non-allowable deductions
Knowledge of capital ratios
Knowledge of internal limit thresholds
Knowledge of customer reserve computations (15c3-3)
Knowledge of segregation of customer vs firm assets
Knowledge of Special reserve bank
Experience investigating and resolving breaks / exceptions in 15c3-1 and 15c3-3
Experience with FOCUS Part II and Part IIA and supplemental reports

Responsibilities

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.