Full-Time

Regulatory Change Management

Prudential Rule Interpretation Advocacy

Mizuho Securities USA

Mizuho Securities USA

10,001+ employees

Global banking, equities, and fixed-income platform

Compensation Overview

$162k - $200k/yr

+ Discretionary Bonus

New York, NY, USA

Hybrid

Hybrid role; remote opportunities vary by department and local laws; in-office requirements communicated during recruitment.

Category
Legal & Compliance (2)
,
Required Skills
Sharepoint
Requirements
  • Bachelor’s degree in Law, Business, or a related field; JD or equivalent strongly preferred.
  • 7 to 10 years of experience in regulatory compliance, legal, or regulatory change management within U.S. financial institutions.
  • Deep knowledge of Prudential regulations, including Capital and Liquidity requirements, Basel Accords, enhanced prudential standards, and Volcker Rule requirements.
  • Strong familiarity with U.S. regulators, including the Federal Reserve Board, Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority, and National Futures Association.
  • Proven ability to interpret complex regulations and communicate impacts to senior stakeholders.
  • Experience developing or maintaining regulatory libraries or change management repositories.
  • Strong analytical, project management, and communication skills.
  • Proficiency with Microsoft Office; experience with SharePoint and Governance, Risk, and Compliance tools preferred.
Responsibilities
  • Lead horizon scanning to identify emerging U.S. regulatory developments, supervisory priorities, and legislative changes impacting MUSO.
  • Analyze Prudential regulatory changes (Capital and Liquidity) and assess downstream impacts across businesses and corporate functions.
  • Conduct detailed, line-by-line regulatory analysis and translate requirements into clear, actionable guidance for stakeholders.
  • Oversee regulatory impact assessments and provide advisory support and thought leadership across business lines and legal entities.
  • Partner with Legal, Compliance, Risk, Treasury, and other functions to support effective regulatory change implementation.
  • Engage with industry associations (e.g., IIB, SIFMA) to monitor supervisory trends and support regulatory advocacy efforts.
  • Maintain and enhance the regulatory laws, rules, and regulations library and related governance tools.
Desired Qualifications
  • None
Mizuho Securities USA

Mizuho Securities USA

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Mizuho Securities USA is part of Mizuho Financial Group, a global financial services firm that blends Eastern and Western banking and market practices to serve corporations, private equity firms, and institutional investors. It operates a full-service platform spanning banking, equities, and fixed income, offering strategic and financing solutions along with risk management. The company earns revenue from interest on loans, advisory and financing fees, and trading income across its global equities and fixed income desks. Its approach combines cross-border know-how with local market expertise to tailor solutions for clients. Unlike peers, it emphasizes a long-standing CSR and diversity program, integrating ethical practices and social initiatives into its operations. The goal is to help clients shape their futures and reach their long-term objectives by providing comprehensive financial services and responsible leadership across global markets.

Company Size

10,001+

Company Stage

IPO

Headquarters

Tokyo, Japan

Founded

2000

Simplify Jobs

Simplify's Take

What believers are saying

  • Manages $2 trillion assets and 605 billion yen revenues as of December 2022, fueling US investment banking expansion.
  • Employs 60,000 experts across 900 offices worldwide, bolstering sales, trading, and advisory capabilities.
  • Viet Phan joined as APAC head of energy and natural resources in 2026, targeting India, Korea, Southeast Asia.

What critics are saying

  • FINRA fines Mizuho Securities USA for equities and fixed income violations within 6-12 months.
  • CME Group in-house clearing erodes Mizuho's futures market share in 12-24 months.
  • EMIR 3.0 forces $2B collateral posting, cutting 10-15% trading revenues since January 2026.

What makes Mizuho Securities USA unique

  • Mizuho Securities USA specializes in futures clearing across agriculture, energy, equities, FX, interest rates, and metals via CME Group.
  • Blends Eastern and Western financial practices for corporate, private equity, and institutional clients in banking, equities, fixed income.
  • Maintains global offices in Hong Kong, Seoul, Sydney, Chicago, enhancing cross-border deal flow for US clients.

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Benefits

Health Insurance

Dental Insurance

Hybrid Work Options

401(k) Retirement Plan

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