Markets Regulatory Attorney - Full-time
MARKETS REGULATORY LEGALWe seek a markets regulatory lawyer to proactively support our broker‑dealer, swap dealer, and security‑based swap dealer businesses, including by helping to implement regulatory change and process improvements. PRINCIPAL ACCOUNTABILITIES: + Provide regulatory advice and related support to Mizuho Americas in relation to securities, futures and derivatives dealing businesses. + Distill regulatory and legal developments into actionable summaries used by impacted internal stakeholders to develop products, business strategy and compliance overlays. + Research and analyze laws and regulations for application to specific trades or platform structures. + Active participation in industry groups. + Work closely with Front Office, Compliance, Operations, Risk, IT and colleagues in Legal respecting regulatory requirements, documentation updates, and process enhancements. + Manage projects and other initiatives on behalf of the Legal Division. + Support regulatory implementation, including by driving cross-functional alignment with other internal teams. + Some familiarity with at least some of the following: + Title VII including uncleared margin, business conduct and/or supervision + Volcker Rule + SEC US Treasury clearing + Rules 15a-6, 15c3-1 and 15c3-3 + Trade reporting such as Trace + Exchange Act Sections 13 and 16 + Regs T and U + Regulatory netting + Regulations respecting records retention, including Rules 17a-3 and 17a-4 + Non-US requirements applicable to cross border marketing + Bank regulatory + Contract negotiation and/or drafting, including with respect to some or all of NDAs, ISDAs, MRAs, MSFTAs or other trading agreements. QUALIFICATIONS: + Law degree from an accredited law school in the United States preferred + 2-5 years experience at major investment firm in a legal or compliance function, law firm or markets regulator + Member in good standing of the New York Bar + Excellent work ethic + Ability and desire to learn new concepts quickly + Understanding of financial markets + Collaborative team player + Ability to prioritize and manage multiple projects and deadlines simultaneously + Capable of completing work independently + Excellent communication, organizational and presentation skills The expected base salary ranges from $155,000.00 - $200,000.00. 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, successful candidates are eligible to receive a discretionary bonus. #LI-Hybrid #LI-NR1 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 MARKETS REGULATORY LEGALWe seek a markets regulatory lawyer to proactively support our broker‑dealer, swap dealer, and security‑based swap dealer businesses, including by helping to implement regulatory change and process improvements. PRINCIPAL ACCOUNTABILITIES: + Provide regulatory advice and related support to Mizuho Americas in relation to securities, futures and derivatives dealing businesses. + Distill regulatory and legal developments into actionable summaries used by impacted internal stakeholders to develop products, business strategy and compliance overlays. + Research and analyze laws and regulations for application to specific trades or platform structures. + Active participation in industry groups. + Work closely with Front Office, Compliance, Operations, Risk, IT and colleagues in Legal respecting regulatory requirements, documentation updates, and process enhancements. + Manage projects and other initiatives on behalf of the Legal Division. + Support regulatory implementation, including by driving cross-functional alignment with other internal teams. + Some familiarity with at least some of the following: + Title VII including uncleared margin, business conduct and/or supervision + Volcker Rule + SEC US Treasury clearing + Rules 15a-6, 15c3-1 and 15c3-3 + Trade reporting such as Trace + Exchange Act Sections 13 and 16 + Regs T and U + Regulatory netting + Regulations respecting records retention, including Rules 17a-3 and 17a-4 + Non-US requirements applicable to cross border marketing + Bank regulatory + Contract negotiation and/or drafting, including with respect to some or all of NDAs, ISDAs, MRAs, MSFTAs or other trading agreements. QUALIFICATIONS: + Law degree from an accredited law school in the United States preferred + 2-5 years experience at major investment firm in a legal or compliance function, law firm or markets regulator + Member in good standing of the New York Bar + Excellent work ethic + Ability and desire to learn new concepts quickly + Understanding of financial markets + Collaborative team player + Ability to prioritize and manage multiple projects and deadlines simultaneously + Capable of completing work independently + Excellent communication, organizational and presentation skills The expected base salary ranges from $155,000.00 - $200,000.00. 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, successful candidates are eligible to receive a discretionary bonus. #LI-Hybrid #LI-NR1 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 Apply tot his job Apply To this Job