Fixed Income & Equity Research, Internal Auditor Associate

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). Summary Execute a robust audit program of Mizuho’s Fixed Income and Equity activities, including performing all aspects of the audit cycle and special projects to the team. . Contribute to the group’s strategic planning, process innovation, project management and talent development. Job Description Under the direction of the Assistant Vice President, execute a robust audit program including performing the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks pertaining Equity Research. Experience or interest in auditing one or more of the areas below highly preferred (but not required) Equity and Fixed Income. Knowledge of financial services operations, finance, liquidity, compliance, conduct, financial crime, technology, credit risk, market risk, regulatory reporting, know your customer (KYC) and client onboarding are also beneficial. 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) related to investment banking and capital markets. In accordance with the IADA policy and procedures, drive efficiency and operational excellence through the use of available tools and resources and sharing of best practices. Identify and implement efficiencies and automation using data analytics. Collaborate both formally and informally with other corporate risk and control functions to ensure activities are coordinated. Work with IADA Assistant Vice President/VP/Director and management 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. Perform other assignments or special projects as may be directed by the Assistant Vice President/VP or Director. Coordinate with or assist other IADA Audit Groups, as needed. Assist the Assistant Vice President/VP and Director with maintaining an Off-Site Monitoring Program for the Group’s portfolio of audits. Cooperate with directives and requests from IADA’s Quality Assurance team, and promote the ongoing effectiveness of IADA’s Quality Assurance function. Description 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. Demonstrates a sound understanding of the financial services industry, including risk management, or technology functions. Possesses at least 1-2 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. 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 support IADA leadership with interacting with supervisory authorities, audit committees, and senior audit leadership including metrics reporting to such parties. Demonstrates ability to effectively support the team’s Assistant Vice President/VP and Director, with respect to the administrative management of IAD. Other requirements Mizuho currently requires employees to be fully vaccinated against COVID-19 to work on-site (unless a legally-required accommodation or exemption has been approved). Mizuho has in place a pilot remote working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as local laws and regulatory obligations. Company Overview Mizuho Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho’s operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at mizuhoamericas.com. Mizuho Bank Ltd. offers a competitive total rewards package. We are an EEO/AA Employer - M/F/Disability/Veteran. We participate in the E-Verify program. We maintain a drug-free workplace and perform pre-employment substance abuse testing. #LI-MIZUHO