Internal Audit, Compliance

Mizuho-posted 4 days ago

$150,000 - $200,000/Yr

Full-time • Mid Level

Hybrid • New York, NY

5,001-10,000 employees

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The Internal Audit Department Americas (IADA) provides internal audit services to the branches, representative offices and agencies of Mizuho Bank, Ltd. in the Americas, and to Mizuho Bank (USA). IADA’s mission is to act as an independent, objective assurance and consulting function, designed to add value and improve Mizuho Bank’s U.S. operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform various audits of different business areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA reports to and composes the overseas arm of MHBK’s Internal Audit Division (IAD). COVERAGE SUMMARY Assist in managing and supporting the Compliance audit team by overseeing the various parts of the audit process, including but not limited to, audit execution, issue validation, continuous monitoring, and annual audit planning. DETAILS OF JOB DESCRIPTION Assist in the design, development and implementation of IADA’s annual risk assessment, audit plan and schedule, continuous monitoring and preparation and presentation of related reports for Compliance related audits. Prepare and/or review deliverables associated with control testing including reviewing the approach, testing and reporting of issues related to compliance areas. In accordance with the IADA policy and procedures, drive efficiency and operational excellence using available tools and resources and sharing of best practices. Identify and implement efficiencies and automation using data analytics. Collaborate with other audit teams to ensure activities are coordinated. Work with leadership in IADA and Compliance to identify control issues and emerging risks and timely and effective remediation. Communicate with Internal Audit Department (IAD) Head Office, other IAD overseas offices, IADA management and staff and other Mizuho areas/functions/personnel. Represent IADA on committees and/or special project teams as necessary. Engage with supervisory authorities, external auditors and other service providers. Manage or perform other assignments or special projects. Cooperate with IADA’s Quality Assurance team, and ensure the team adheres to QA team requirements and standards in terms of issue validation, workpaper preparation, etc.

Assist in managing and supporting the Compliance audit team by overseeing the various parts of the audit process, including but not limited to, audit execution, issue validation, continuous monitoring, and annual audit planning.
Assist in the design, development and implementation of IADA’s annual risk assessment, audit plan and schedule, continuous monitoring and preparation and presentation of related reports for Compliance related audits.
Prepare and/or review deliverables associated with control testing including reviewing the approach, testing and reporting of issues related to compliance areas.
In accordance with the IADA policy and procedures, drive efficiency and operational excellence using available tools and resources and sharing of best practices.
Identify and implement efficiencies and automation using data analytics.
Collaborate with other audit teams to ensure activities are coordinated.
Work with leadership in IADA and Compliance to identify control issues and emerging risks and timely and effective remediation.
Communicate with Internal Audit Department (IAD) Head Office, other IAD overseas offices, IADA management and staff and other Mizuho areas/functions/personnel.
Represent IADA on committees and/or special project teams as necessary.
Engage with supervisory authorities, external auditors and other service providers.
Manage or perform other assignments or special projects.
Cooperate with IADA’s Quality Assurance team, and ensure the team adheres to QA team requirements and standards in terms of issue validation, workpaper preparation, etc.

Holds a Bachelor’s Degree or equivalent in business, accounting, finance or economics.
May also hold an advanced or specialized degree and/or a professional certification (e.g., MBA, CPA, CA, CIA, CISA, CFE) or license relevant to the profession.
Demonstrates a sound understanding of the financial services industry with a strong focus on Compliance.
Possesses at least ten years of relevant work experience, including in internal auditing or external auditing, risk management, supervisory examinations, or their equivalent.
Demonstrates a sound understanding of internal audit principles, practices and techniques, the concepts of risk, risk management, internal control and compliance, and the ability to effectively and consistently apply such understanding to assignments.
Demonstrates the ability to effectively direct, guide, and supervise subordinate staff in the planning and execution of all phases of internal audits, issue testing and special projects, in a manner consistent with recognized professional standards and with applicable Mizuho policies and procedures.
Has excellent communication skills, both written and verbal, as well as strong relationship building skills with ability to work well within a team-oriented environment.
Demonstrates the ability to effectively evaluate the performance of the staff assigned to the group and manage their ongoing professional development.
Demonstrates the capacity for effective project and time management skills, including the ability to prioritize, design and direct multiple tasks/projects and to anticipate and meet required deadlines.

In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.

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