Securities Regulatory Reporting Vice President

Mizuho•New York, NY

1d•Hybrid

About The Position

The Securities Regulatory Reporting Vice President will be responsible for ensuring broker-dealers maintain sufficient liquid capital to meet obligations and protect customers. This role 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, with the ability to escalate breaches or early warning triggers to management. Additionally, the role includes reviewing customer reserve computations (15c3-3), monitoring the segregation of customer vs. firm assets, ensuring the Special Reserve Bank is maintained, and investigating/resolving breaks or exceptions in 15c3-1 and 15c3-3. The Vice President will also be responsible for the compilation and review of FOCUS Part II and Part IIA, as well as supplemental reports such as the Supplemental Statement of Income, Off Balance Sheet reporting, and the Supplemental Liquidity Schedule.

Requirements

Detailed knowledge of net capital computation including haircuts and non-allowable deductions, capital ratios and internal limit thresholds.
Knowledge of Rule 17a-11.
Knowledge of 15c3-3 customer reserve computations.
Experience with FOCUS Part II and Part IIA reporting.
Experience with Supplemental Statement of Income, Off Balance Sheet reporting, and Supplemental liquidity schedule.

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.