Operations Auditor

Mizuho•New York, NY

1d•$138,000 - $200,000•Hybrid

About The Position

The Operations Auditor will plan, execute, and supervise internal audits and special projects covering back-office operations across commercial banking, broker-dealer, and swap-dealer entities. The role evaluates internal controls, risk management, and compliance with regulatory requirements in areas such as settlements, payments, reconciliations, trade support, transaction processing, and operational risk management. The auditor identifies process improvements, documents findings, and communicates recommendations to management to support effective, efficient, and compliant operations. Depending on the assignment, the auditor may supervise or perform any or all phases of audits and projects—planning, fieldwork, reporting, and follow-up—in accordance with professional standards and approved IAD/IADA policies and procedures. The role also oversees assignment staffing and timely completion, supervises and evaluates audit staff, supports risk assessments and portfolio monitoring, and maintains working relationships with technology management, other internal audit staff, business functions, external auditors, and regulatory examiners. The auditor may represent IADA on committees and working groups and perform other assignments as directed by the Group Manager. The position is based in the New York Metro area. In-office attendance is an essential function, currently requiring attendance at least 50% of the time, or five out of every 10 business days. The expected base salary is $138,000–$200,000, and eligible candidates may receive a discretionary bonus in addition to the employee benefits package.

Requirements

Bachelor’s degree or equivalent.
At least seven years of relevant experience in internal or external auditing, supervisory examinations, or equivalent work.
Experience auditing back-office operations, including business process controls, transaction processing, reconciliation procedures, records management, and compliance with internal policies and regulatory requirements.
Knowledge of financial services, including banking and brokerage, and applicable regulatory requirements.
Knowledge of internal audit principles, practices, and techniques, and of risk, risk management, internal control, and compliance sufficient to execute complex audits and independently identify potential audit matters and their risk significance.
Strong audit project management skills, including managing time and tasks and completing assigned projects from beginning to end.
Ability to analyze problems, understand and follow instructions, supervise or execute audit work, and document work in accordance with prescribed standards.
Strong written, oral, and interpersonal communication skills to execute assignments effectively and engage with auditees and their management.
Ability to organize and lead effective meetings and discussions with auditees and management.
Ability to prepare accurate, timely working papers and develop and document audit findings and recommendations.
Ability to attend the office at least 50% of the time, currently five out of every 10 business days.

Nice To Haves

An advanced or specialized degree.
A relevant professional designation or license, such as MBA, CPA, CAMS, CIA, CISA, or CFE.

Responsibilities

Plan, execute, supervise, or perform internal audits, special audit work, and other projects across commercial bank, broker-dealer, and swap-dealer operations.
Conduct audit phases including planning, fieldwork, reporting, and follow-up in compliance with professional standards and approved IAD/IADA policies and procedures.
Evaluate back-office operational processes, transaction processing, reconciliations, internal controls, risk management, and regulatory compliance.
Identify opportunities for process improvement and document audit findings and recommendations for management.
Ensure appropriate staff assignments and completion of audit work within required dates and timeframes.
As an In-Charge Auditor, supervise and evaluate assigned audit staff and provide feedback to staff members and the Group Manager.
Assist the Group Manager in communicating with technology management and maintain current knowledge of relevant business and risk profiles.
Communicate with IADA staff, other Mizuho functions, external auditors, and regulatory examiners to support effective audit coverage.
Assist the Group Manager with risk assessments and off-site monitoring of the audit portfolio, including preparation of status, MIS, and other reports.
Cooperate with supervisory authorities and external auditors as needed.
Represent IADA on committees, subcommittees, project teams, working groups, or meeting groups when directed.
Support IADA's Quality Assurance function and comply with its directives and requests.
Perform other assignments or projects as directed by the Group Manager.