Operations Auditor

Operations  Auditor VP

About the Team

“The Internal Audit Department Americas (IADA) provides internal audit services to Mizuho Americas LLC (“BHC” or “Mizuho”), its U.S. subsidiaries and operations, which are collectively referred to as Mizuho U.S. Operations (“MUSO”). MUSO is comprised of Mizuho Bank (USA), the U.S. branches of Mizuho Bank, Ltd., Mizuho Americas Services LLC, Mizuho Securities USA LLC, Mizuho Capital Markets LLC, Mizuho Markets Americas Ltd., and, Mizuho Markets Cayman LP. 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 improve MUSO 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 MUSO to evaluate the effectiveness of risk management and governance processes.  As with counterparts in London, Hong Kong and Singapore, IADA reports to and comprises the overseas arm of Mizuho Bank’s Internal Audit Division (IAD). 

Group Audit Coverage Summary

Seeking auditor with strong experience of auditing commercial bank and securities-related operations. The auditor will be responsible for planning, executing, and supervising audits of back-office operations across commercial banking, broker dealer, and swap dealer entities. This includes evaluating the adequacy and effectiveness of internal controls, risk management, and compliance with regulatory requirements within functions such as settlements, payments, reconciliations, trade support, and operational risk management. The auditor will identify process improvements, document findings, and communicate recommendations to management, ensuring that operational processes align with organizational policies and industry best practices. In addition, covering assigned areas through relationship management and continuous monitoring, managing the audit process from initiation to completion and assisting the Group Manager with the administrative control of the Group.

Job Description

The auditor will supervise or perform selected internal audits, special audit work, and other special projects of the Group or as otherwise directed. Responsibilities extend across commercial bank, broker dealer, and swap dealer operations, requiring a thorough understanding of financial products, regulatory requirements, and risk management practices. According to the assignment, this may include supervising or executing any or all phases (Planning, Fieldwork, Reporting, and Follow-up) of assigned audits and other projects in compliance with recognized professional standards and with approved IAD/IADA policies, procedures, and standards. The auditor will also evaluate internal controls, assess compliance with applicable laws and regulations, and identify opportunities for process improvements to enhance operational efficiency and mitigate risks.

• The auditor will focus on back-office operations, assessing the effectiveness of operational processes, transaction processing, reconciliations, and internal controls that support Mizuho’s business activities.

• Assure the proper administration of each assignment with respect to staff assignment and completion of work in accordance with date and time requirements.

• As an In-Charge Auditor, supervise and evaluate the performance of assigned audit staff and provide feedback to staff members and the Group Manager.

• Assist the Group Manager in maintaining ongoing communication between IADA and technology management responsible for the areas audited by the Group and remain current on the business and risk profiles of these areas. 

• Maintain communication with other IADA staff, other Mizuho areas and functions, external auditors and regulatory examiners, as needed, to ensure effective and efficient internal audit coverage of business operations and functions audited by the Group.

• Assist the Group Manager with risk assessments, and off-site monitoring of the Group’s portfolio of audits in the preparation of required status, MIS or other reports.

• Cooperate, as needed, with supervisory authorities and external auditors.

• As directed, represent IADA on Committees, sub-Committees, Special Project Teams, Working Groups or Meeting Groups.

• Cooperate fully with directives and requests from IADA’s Quality Assurance Support and promote the ongoing effectiveness of IADA’s Quality Assurance function.

• Perform other assignments or projects as may be directed by the Group Manager.

Qualifications

• Bachelor’s Degree or equivalent. May also hold an advanced or specialized degree and/or a professional designation (e.g., MBA, CPA, CAMS, CIA, CISA, CFE) or license relevant to the profession.

• Possess at least seven years of relevant work experience in internal or external auditing, supervisory examinations, or their equivalent.

• Demonstrate knowledge and experience in performing back-office operations audits, including reviewing business process controls, transaction processing, reconciliation procedures, records management, and compliance with internal policies and regulatory requirements. Assess the effectiveness of operational workflows, segregation of duties, risk management practices, and governance over key administrative functions, ensuring accuracy, efficiency, and adherence to organizational standards. 

• Demonstrate a sound understanding of the financial services industry (i.e., banking, brokerage) and regulatory requirements.

• Demonstrate sufficient knowledge and understanding of internal audit principles, practices and techniques, and the concepts of risk, risk management, internal control and compliance to: (a) execute complex audit assignments and (b) independently identify potential audit matters with understanding of their risk significance.

• Have good audit project (time and task) management skills to successfully manage assigned projects from beginning to end.

• Can analyze problems and interpret, understand and follow instructions without excessive dependence on the Group Manager, and supervise/execute and document work performed in accordance with prescribed standards. 

• Have good communication (written and oral) and interpersonal skills to allow the timely and effective execution of assignments.  Can initiate and organize effective meetings and discussions with auditees and their management,

• Ensure the timely and correct preparation of related working papers and develop and document related audit findings and recommendations.

The expected base salary ranges from $138,000.00 - $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.

#LI-Hybrid

#LI-NR1

Other requirements

In office attendance is an essential function of this role.  There is currently a requirement to be in the office a minimum 50% of the time, or five out of every 10 business days.  Specific information about the requirements for your role will be communicated during the recruitment process.

Company Overview

Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill​, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.​​

Mizuho Americas offers a competitive total rewards package.

We are an equal employment opportunity employer, and we comply with applicable laws prohibiting discrimination in all of the jurisdictions where we operate. AA Employer - M/F/Disability/Veteran.

Accommodations are available upon request for applicants with disabilities and other covered reasons in accordance with applicable law.

We participate in the E-Verify program.

We maintain a drug-free workplace and reserve the right to require pre- and post-hire drug testing, as permitted by applicable law.