Internal Audit - Equities (Finance)

Summary

Manage and maintain a robust audit program of Mizuho's Equity & Research activities, including leading and delivering the timely execution of audits and special projects specific to equity & research. Contribute to the group's strategic planning, process innovation, project management and talent development.

Job Description

• Under the direction of the Director, maintain a robust audit program including overall management and/or leading the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks pertaining to equity & research.
• Direct experience auditing one or more of the areas below highly preferred (but not required): equity, sales and trading or research (including equities, electronic and program trading, equity research, sales, trading mandates, markets conduct, swap dealer and security-based swap dealer as well as 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 associated with issue testing including reviewing the approach, testing and reports for issues (e.g. regulatory, third-party and internal audit) related to equity & 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 with other corporate risk and control functions to ensure activities are coordinated.
• Work with IADA Director/MD and equity & 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 and/or Managing Director.
• Evaluate and provide timely feedback to team members regarding performance, and manage their continuing professional development.
• Assist with the development of training material related to equity & research audit topics.
• Manage 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.
• Assist the 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.

Core Competencies

• 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, equity & research, risk management, or technology functions. 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.
• Demonstrates the ability to effectively direct, guide, and supervise all subordinate staff in the planning and execution of all phases of internal audits, issue testing and special projects, in a manner consistent with recognized professional standards and with applicable Mizuho/IAD/IADA policies and procedures.
• 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 ability to effectively evaluate the performance of the staff assigned to the group and manage their ongoing professional development.
• 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 interact directly with supervisory authorities, audit committees, and senior audit leadership including metrics reporting to such parties.
• Demonstrates ability to effectively support the team's Director and Managing Director with respect to the administrative management of IAD.

The expected base salary ranges from $120,000.00 - $200,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.

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