Corporate Compliance Internal Auditor

Mizuho•New York, NY

13d•$102,000 - $150,000•Hybrid

About The Position

About the Team 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). Execute a robust audit program of Mizuho’s corporate and compliance activities, with particular emphasis on Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and Sanctions compliance. Contribute to the group’s strategic planning, process innovation, project management and talent development. Job Description Under the direction of the Director/Executive Director, execute a robust audit program including leading the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks pertaining to corporate and compliance areas of focus. Execute the activities and/or deliverables associated with issue testing including reviewing the approach, testing and reports for issues (e.g. regulatory, third-party and internal audit) related to corporate and compliance areas of focus. Collaborate both formally and informally with other corporate risk and control functions to ensure activities are coordinated. Work with IADA Director/Executive Director and corporate and compliance management to identify control issues and emerging risks and ensure timely and effective remediation. As applicable, engage with supervisory authorities, external auditors and other service providers in the conduct of their activities at Mizuho. Manage or perform other assignments or special projects as may be directed by the Director or Executive Director. Meet training and development needs, and deliver high-quality, value-added assurance and advisory services. Coordinate with or assist other IADA Audit Groups, as needed. Cooperate with directives and requests from IADA’s Quality Assurance team and promote the ongoing effectiveness of IADA’s Quality Assurance function.

Requirements

Holds a bachelor’s degree or equivalent in business, accounting, finance, economics, computer science or management information systems.
May also hold an advanced or specialized degree and/or a professional certification (e.g., MBA, CPA, CA, CIA, CAMS, CISA, CFE) or license relevant to the profession.
Demonstrates a sound understanding of the financial services industry, including audit, financial, corporate and compliance, risk management, or technology functions.
Possesses at least 3 years of relevant work experience, including in internal auditing or external auditing, risk management, supervisory examinations, or their equivalent.
Demonstrates experience with BSA/AML/OFAC laws, transaction monitoring, Know-your Customer (KYC), and guidelines established by the US Treasury Department and other regulatory agencies around financial crimes.
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.
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 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.
Demonstrates ability to effectively support the team’s Director and Managing Director, with respect to the administrative management of IAD.

Responsibilities

Execute a robust audit program including leading the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks pertaining to corporate and compliance areas of focus.
Execute the activities and/or deliverables associated with issue testing including reviewing the approach, testing and reports for issues (e.g. regulatory, third-party and internal audit) related to corporate and compliance areas of focus.
Collaborate both formally and informally with other corporate risk and control functions to ensure activities are coordinated.
Work with IADA Director/Executive Director and corporate and compliance management to identify control issues and emerging risks and ensure timely and effective remediation.
As applicable, engage with supervisory authorities, external auditors and other service providers in the conduct of their activities at Mizuho.
Manage or perform other assignments or special projects as may be directed by the Director or Executive Director.
Meet training and development needs, and deliver high-quality, value-added assurance and advisory services.
Coordinate with or assist other IADA Audit Groups, as needed.
Cooperate with directives and requests from IADA’s Quality Assurance team and promote the ongoing effectiveness of IADA’s Quality Assurance function.