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SalaryJob Description
Job Description
- Lead internal audits assigned to Group or as otherwise directed by IADA management. According to the assignment, this may include leading the execution of all phases (Planning, Fieldwork, Reporting and Follow-up) of assigned audits in compliance with approved policies and procedures, and IADA local standards and regulations
- Adhere to relevant timing, scheduling, and budgetary requirements.
- Direct experience auditing the areas below highly preferred:
- Derivatives or Futures (including Swaps, Options, Futures Execution and Clearing, Foreign Exchange, Derivative Operations, Structured Credit, Models, Swap Dealer or Futures Commission Merchant Risk Management Programs, Risk Solutions, Counterparty Management)
- 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.
- Lead or perform special audit reviews and other special projects, as needed.
- Lead and direct audit staff assigned to the Audit Group, evaluate and provide feedback regarding their performance, and manage their continuing professional development.
- Communicate and escalate as needed, with IADA management and staff, other Mizuho areas/functions/personnel, external auditors, regulatory examiners 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 other assignments as may be directed by the General Manager or Deputy General Manager of IADA.
Qualifications
- 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 8 years of relevant work experience, including experience in leading projects as part of internal auditing or external auditing, supervisory examinations, or their equivalent.
- 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 lead and direct the planning, execution and reporting 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 lead and coach junior staff in the execution of the Group's work, evaluate their performance, and manage their ongoing professional development.
- Demonstrates capacity for effective oral and written communications, with respect to the preparation of required reports and oral communications with audit department and auditee management, audit staff subordinates, external auditors, supervisory authorities, 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.
- Demonstrates ability to effectively support the General Manager and Deputy General manager with respect to the administrative management of IADA, including annual, periodic, ongoing or other administrative management activities.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender, identity, national origin, disability, or protected veteran status.
