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…