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Securities Regulatory Reporting Associate

ExperiencedNo visa sponsorship
Mizuho logo

at Mizuho

Investment Banking

Posted 11 days ago

No clicks

**Securities Regulatory Reporting Associate:** Expertise in accounting/finance needed for securities regulatory reporting, focusing on futures. Prepare daily/weekly/monthly, and quarterly reports. Key responsibilities involve net capital computation, variance analysis, coordination with multiple groups, and research on regulatory requirements. Proficient in Excel required. Series 27 certification needed. Bachelor's in Accounting/Finance preferred. Experience in financial industry and regulatory reporting essential. Hybrid work environment offered. Competitive total rewards package.

Compensation
$88,000 – $110,000 USD

Currency: $ (USD)

City
New York City
Country
United States

Full Job Description

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 US regulated entities.

  • Compute moment-to-moment capital charges on underwriting deals and track confirmed sales on underwriting deals.

  • Preparation of weekly regulatory capital computation for foreign entities (Canada, UK, Germany, Singapore, Hong Kong).

  • Prepare the monthly and quarterly regulatory reports.

  • Perform variance analysis of the trial balance 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 firms 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:

  • 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 $88,000 - $110,000. 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

Securities Regulatory Reporting Associate

Compensation

$88,000 – $110,000 USD

City: New York City

Country: United States

Mizuho logo
Investment Banking

11 days ago

No clicks

at Mizuho

ExperiencedNo visa sponsorship

**Securities Regulatory Reporting Associate:** Expertise in accounting/finance needed for securities regulatory reporting, focusing on futures. Prepare daily/weekly/monthly, and quarterly reports. Key responsibilities involve net capital computation, variance analysis, coordination with multiple groups, and research on regulatory requirements. Proficient in Excel required. Series 27 certification needed. Bachelor's in Accounting/Finance preferred. Experience in financial industry and regulatory reporting essential. Hybrid work environment offered. Competitive total rewards package.

Full Job Description

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 US regulated entities.

  • Compute moment-to-moment capital charges on underwriting deals and track confirmed sales on underwriting deals.

  • Preparation of weekly regulatory capital computation for foreign entities (Canada, UK, Germany, Singapore, Hong Kong).

  • Prepare the monthly and quarterly regulatory reports.

  • Perform variance analysis of the trial balance 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 firms 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:

  • 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 $88,000 - $110,000. 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