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

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 Preparation of daily 15c3-1 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. Coordinate 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 proficiency. Compensation and Benefits 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. 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. Work Arrangement Mizuho has a hybrid working program. The specific mix of remote and in‑office work will vary by role, departmental needs, and local laws and regulations. Equal Employment Opportunity 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. #J-18808-Ljbffr Dormont Manufacturing Co