Internal Audit Regulatory Reporting

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) and related subsidiaries. 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 derivative activities under the bank, broker dealer and swap 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).

Summary

Support the team in executing a robust audit program including leading the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks. Assist in the design, development and implementation of Internal Audit Department America’s (IADA’s) annual risk assessment, audit plan and schedule, and continuous monitoring, and preparation and/or presentation of related MIS reports. 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) In accordance with the IADA policy and procedures, support the team by striving towards efficiency and operational excellence by using available tools and resources and sharing of best practices. Work with IADA Vice President/Director and other required groups to identify control issues and emerging risks and ensure timely and effective remediation. Communicate, as needed, with Internal Audit Department (IAD) Head Office, other IAD overseas offices, IADA management and staff and other Mizuho areas/functions/personnel. Represent IADA, as directed, on committees and/or special project teams as necessary. As applicable, engage with supervisory authorities, external auditors and other service providers in the conduct of their activities at Mizuho. Assist the Director with maintaining an Off-Site Monitoring Program for the Group’s portfolio of audits.

Responsibilities

• Support the team in executing a robust audit program including leading the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks.
• Assist in the design, development and implementation of Internal Audit Department America’s (IADA’s) annual risk assessment, audit plan and schedule, and continuous monitoring, and preparation and/or presentation of related MIS reports.
• 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)
• In accordance with the IADA policy and procedures, support the team by striving towards efficiency and operational excellence by using available tools and resources and sharing of best practices.
• Work with IADA Vice President/Director and other required groups to identify control issues and emerging risks and ensure timely and effective remediation.
• Communicate, as needed, with Internal Audit Department (IAD) Head Office, other IAD overseas offices, IADA management and staff and other Mizuho areas/functions/personnel.
• Represent IADA, as directed, on committees and/or special project teams as necessary.
• As applicable, engage with supervisory authorities, external auditors and other service providers in the conduct of their activities at Mizuho.
• Assist the Director with maintaining an Off-Site Monitoring Program for the Group’s portfolio of audits.

Requirements

• 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, CISA, CFE) or license relevant to the profession.
• Possesses at least 7 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.
• 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.
• Support IADA leadership with interacting with supervisory authorities, audit committees, and senior audit leadership including metrics reporting to such parties.
• Has experience in bank or broker dealer financial, managerial, and regulatory reporting.

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