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Internal Auditor Front Office (AVP)

Company: Mizuho Financial group
Location: New York
Posted on: November 26, 2022

Job Description:

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) and related subsidiaries. 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 derivative activities, broker dealer and swap 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).


Execute a robust audit program including performing the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks pertaining to Front Office activities.

Job Description

* Assist in the execution of internal audits assigned to Group or as otherwise directed by IADA management. According to the assignment, this may include executing all phases (Planning, Fieldwork, Reporting and Follow-up) of assigned audits in compliance with approved policies and procedures, and IADA local standards.

* Adhere to relevant timing, scheduling, and budgetary requirements.

* Communicate with audit lead and IADA management, other Mizuho areas/functions/personnel, external auditors, and others, as needed, to ensure effective and efficient internal audit coverage of the businesses and functions audited by IADA and/or this Audit Group.

* Assist in the design, development and implementation of IADA's Annual Plan and Schedule, and in the preparation and/or presentation during the year of related MIS reports.

* Cooperate as needed with supervisory authorities, external auditors and other service providers in the conduct of their activities at Mizuho.

* Cooperate fully with directives and requests from IADA's Quality Assurance Support, and promote the ongoing effectiveness of IADA's Quality Assurance function.

* Perform special reviews and other assignments as may be directed by the General Manager or Deputy General Manager of IADA.


Holds a Bachelor's Degree or equivalent. May also hold an advanced or specialized degree and/or a professional certification (e.g., CPA, CA, CIA, CISA) or license relevant to the profession.

* Demonstrates a sound understanding of the financial services industry, and possesses at least 4 years of relevant work experience, including experience in executing projects as part of internal auditing or external auditing, supervisory examinations, or their equivalent.

* Experience in auditing one or more of the areas below:

* Investment Banking and Capital Markets activities

* Equity, Fixed Income, or Cash Products

* Derivatives or Futures (including Swaps, Options, Futures Execution and Clearing, Foreign Exchange, Derivative Operations, Structured Credit, Swap Dealer or Futures Commission Merchant Risk Management Programs, Risk Solutions, Counterparty Management)

* Financial services operations, finance, liquidity, compliance, conduct, financial crime, technology, credit risk, market risk, regulatory reporting, know your customer (KYC) and client onboarding

* Demonstrates 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 executing all phases of internal audits, special projects and other audit work, in a manner consistent with recognized professional standards and with applicable Mizuho/IAD/IADA policies and procedures.

* Demonstrates the ability to effectively identify areas of risk and execute control reviews independently.

* Demonstrates capacity for effective oral and written communications, with respect to the testing conducted and potential observations with audit department and auditee management, external auditors, external contractors, and others, as needed.

* Demonstrates the ability to effectively initiate, plan, organize and hold meetings and discussions in the conduct of the Group's or IADA's business.

* Demonstrates the capacity for effective project and time management skills, including the ability to prioritize and execute multiple tasks/projects, both audits and administrative, to anticipate and meet required deadlines.

Other requirements

In accordance with New York City law, employees based in Mizuho's New York City office are required to be fully vaccinated against COVID-19 to work on-site (unless a legally-required accommodation 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

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.


Keywords: Mizuho Financial group, New York , Internal Auditor Front Office (AVP), Accounting, Auditing , New York, New York

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