Description:
SEC 15c3-1 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
The expected base salary ranges from $115,000 - $180,000. 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
Skills Required
- Detailed knowledge of SEC Rules 15c3-1 and 15c3-3
- Daily net capital review and continuous (moment-to-moment) monitoring
- Knowledge of Rule 17a-11 early warning/notification requirements
- Expertise in net capital computation including haircuts, non-allowable deductions, capital ratios, internal limit thresholds
- Ability to escalate breaches and early warning triggers to management
- Review and calculation of customer reserve computations and monitoring segregation of customer vs firm assets and Special Reserve Bank compliance
- Investigate and resolve breaks/exceptions related to 15c3-1 and 15c3-3
- Compilation and review of FOCUS Part II and Part IIA and supplemental reports (Supplemental Statement of Income, Off Balance Sheet reporting, supplemental liquidity schedule)
- Experience working with broker-dealers or in regulatory reporting for financial institutions
- Able to comply with company background and drug-testing policies if required
Mizuho Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Mizuho and has not been reviewed or approved by Mizuho.
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Healthcare Strength — Medical, dental, and vision coverage are characterized as strong, with plans described as excellent in multiple contexts. U.S. entities provide standard plan options and supporting programs that reinforce overall coverage quality.
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Retirement Support — A U.S. 401(k) program with employer contributions is available, indicating solid retirement support across entities. While formulas may vary by unit and year, the presence of an employer-funded component is a consistent feature.
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Parental & Family Support — Paid parental leave is described as meaningful, accompanied by programs that support childcare and eldercare. Flexible workstyles and family-focused resources broaden the depth of family support.
Mizuho Insights
What We Do
This is not your typical financial institution. It’s our people who make us a cut above. Here, every person is respected because of their differences, not in spite of them. We pride ourselves on a culture of purpose, passion and compassion. At Mizuho, we provide the stability of an international industry leader with the career trajectory of a growing business. Our steady, strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone. Working for Mizuho opens doors not just to a rewarding career with excellent prospects, but to lasting friendships with colleagues from diverse cultures. It’s the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and clients who have your same ambition, you can amplify your sphere of influence and base of knowledge as part of one of the largest—and growing—banks in the world. We’re all global citizens, and that’s why our company feels compelled to make an impact through more than just drawing up deals. We prove that it’s possible to do well and do good. We do right by our clients, our community and each other.
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