Internal Securities Auditor

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). 

Job Summary

Develop and execute a robust audit program of Mizuho’s Equity, Futures & Research activities, including leading all aspects of the audit cycle and special projects. Contribute to the group’s strategic planning, process innovation, project management and talent development.

Job Description

Under the direction of the Director, execute a robust audit program including leading the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks pertaining to equity, futures & research. Direct experience auditing one or more of the areas below highly preferred (but not required):

• Equity sales and trading, futures or research (including cash equities, electronic and program trading, equity derivatives, sales, markets conduct and Volcker rule).

• 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, continuous monitoring and preparation and/or presentation of related MIS reports.

• Manage and review 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 equity, futures & research. 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 Director/MD and equity, futures & research 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.

• Manage or perform other assignments or special projects as may be directed by the Director or Managing Director.

• Evaluate and provide timely feedback to team members regarding performance, provide hands-on coaching, and manage their continuing professional development.

• Assist with the development of training material related to equity, futures & research audit topics.

• Manage staff resources to optimize productivity, 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.

Qualifications

• 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, CISA, CFE) or license relevant to the profession.

• Demonstrates a sound understanding of the financial services industry, including audit, financial, investment banking and capital market