Markets Regulatory Attorney

Mizuho • New York City, NY

5d • $155,000 - $200,000 • Hybrid

About The Position

MARKETS REGULATORY LEGAL We 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.

Requirements

• 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

Responsibilities

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Ph.D. or professional degree