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 requirementsMizuho 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
