Internal Audit- Operations
About the position
The Internal Audit Department Americas (IADA) provides independent audit and advisory services to Mizuho Americas LLC and its U.S. subsidiaries and operations (“Mizuho U.S. Operations”), including U.S. banking, broker‑dealer, swap‑dealer, and affiliated international operations. IADA also performs audits of Mizuho offices located in Brazil, Canada, and Mexico. IADA’s mission is to act as an independent, objective assurance and consulting function designed to add value and strengthen risk management, governance, and internal controls across the firm. Based in the New York Metro area, IADA operates as part of Mizuho Bank’s global Internal Audit Division, alongside counterparts in London, Hong Kong, and Singapore.
Responsibilities
• Plan, lead, and execute audits of back‑office operations across commercial banking, broker‑dealer, and swap‑dealer entities.
• Evaluate the adequacy and effectiveness of internal controls, operational processes, and risk management practices within functions such as settlements, payments, reconciliations, trade support, records management, and operational risk management.
• Execute or supervise all phases of assigned audits, including planning, fieldwork, reporting, and follow‑up, in accordance with professional standards and IADA/IAD policies.
• Identify control gaps, operational weaknesses, and opportunities for process improvement; develop clear, actionable audit findings and recommendations.
• Ensure audit work is completed accurately, on time, and in accordance with established methodologies and timelines.
• Act as In‑Charge Auditor on assigned engagements, supervising audit staff, reviewing workpapers, and providing timely performance feedback.
• Maintain ongoing communication with management in audited areas to stay current on business developments, operational changes, and emerging risks.
• Support continuous monitoring and risk assessment activities for assigned audit areas.
• Coordinate effectively with other IADA teams, business management, technology partners, external auditors, and regulatory examiners, as needed.
• Assist the Group Manager with audit planning, risk assessments, off‑site monitoring, and preparation of audit status, MIS, and management reports.
• Support IADA’s Quality Assurance function and comply with all QA directives and review requirements.
• Represent IADA, as directed, on committees, working groups, special projects, or firm‑wide initiatives.
• Perform additional assignments or special projects as directed by audit leadership.
Requirements
• Bachelor’s degree required; advanced degree and/or professional certification preferred (e.g., MBA, CPA, CIA, CISA, CAMS, CFE).
• Minimum of 7 years of relevant experience in internal or external auditing, regulatory examinations, or a related risk or control function.
• Strong experience auditing back‑office operations, including transaction processing, reconciliations, business process controls, segregation of duties, and operational workflows.
• Solid understanding of banking and brokerage operations and applicable regulatory requirements.
• Demonstrated knowledge of internal audit principles, risk management, internal controls, and compliance concepts sufficient to independently execute complex audits and assess risk significance.
• Strong project management skills, with the ability to manage multiple audits and deadlines concurrently.
• Proven ability to work independently, exercise sound judgment, and supervise audit staff with limited oversight.
• Excellent written and verbal communication skills, with the ability to effectively engage senior stakeholders.
• Detail‑oriented, analytical, and collaborative, with a strong commitment to quality and professionalism
Benefits
• generous employee benefits package
• discretionary bonus
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Apply To this Job
The Internal Audit Department Americas (IADA) provides independent audit and advisory services to Mizuho Americas LLC and its U.S. subsidiaries and operations (“Mizuho U.S. Operations”), including U.S. banking, broker‑dealer, swap‑dealer, and affiliated international operations. IADA also performs audits of Mizuho offices located in Brazil, Canada, and Mexico. IADA’s mission is to act as an independent, objective assurance and consulting function designed to add value and strengthen risk management, governance, and internal controls across the firm. Based in the New York Metro area, IADA operates as part of Mizuho Bank’s global Internal Audit Division, alongside counterparts in London, Hong Kong, and Singapore.
Responsibilities
• Plan, lead, and execute audits of back‑office operations across commercial banking, broker‑dealer, and swap‑dealer entities.
• Evaluate the adequacy and effectiveness of internal controls, operational processes, and risk management practices within functions such as settlements, payments, reconciliations, trade support, records management, and operational risk management.
• Execute or supervise all phases of assigned audits, including planning, fieldwork, reporting, and follow‑up, in accordance with professional standards and IADA/IAD policies.
• Identify control gaps, operational weaknesses, and opportunities for process improvement; develop clear, actionable audit findings and recommendations.
• Ensure audit work is completed accurately, on time, and in accordance with established methodologies and timelines.
• Act as In‑Charge Auditor on assigned engagements, supervising audit staff, reviewing workpapers, and providing timely performance feedback.
• Maintain ongoing communication with management in audited areas to stay current on business developments, operational changes, and emerging risks.
• Support continuous monitoring and risk assessment activities for assigned audit areas.
• Coordinate effectively with other IADA teams, business management, technology partners, external auditors, and regulatory examiners, as needed.
• Assist the Group Manager with audit planning, risk assessments, off‑site monitoring, and preparation of audit status, MIS, and management reports.
• Support IADA’s Quality Assurance function and comply with all QA directives and review requirements.
• Represent IADA, as directed, on committees, working groups, special projects, or firm‑wide initiatives.
• Perform additional assignments or special projects as directed by audit leadership.
Requirements
• Bachelor’s degree required; advanced degree and/or professional certification preferred (e.g., MBA, CPA, CIA, CISA, CAMS, CFE).
• Minimum of 7 years of relevant experience in internal or external auditing, regulatory examinations, or a related risk or control function.
• Strong experience auditing back‑office operations, including transaction processing, reconciliations, business process controls, segregation of duties, and operational workflows.
• Solid understanding of banking and brokerage operations and applicable regulatory requirements.
• Demonstrated knowledge of internal audit principles, risk management, internal controls, and compliance concepts sufficient to independently execute complex audits and assess risk significance.
• Strong project management skills, with the ability to manage multiple audits and deadlines concurrently.
• Proven ability to work independently, exercise sound judgment, and supervise audit staff with limited oversight.
• Excellent written and verbal communication skills, with the ability to effectively engage senior stakeholders.
• Detail‑oriented, analytical, and collaborative, with a strong commitment to quality and professionalism
Benefits
• generous employee benefits package
• discretionary bonus
Apply tot his job
Apply To this Job