Internal Audit - Regulatory Reporting (Finance)

Summary

Support the team by overseeing the various administrative functions required to be executed as part of the audit process, including but not limited to, issue validation, continuous monitoring, and annual audit planning. Assist with audit execution as needed.

Job Description

• 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.
• Perform activities and/or prepare deliverables associated with issue testing including reviewing the approach, testing and reports for issues (e.g. regulatory, third-party and internal audit) related to Regulatory Reporting areas of focus and provide feedback as needed.
• 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 both formally and informally with other audit teams to ensure activities are coordinated.
• Work with other leadership in IADA Regulatory Reporting 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.
• Cooperate with directives and requests from IADA's Quality Assurance team, and promote the ongoing effectiveness of IADA's Quality Assurance function. Ensure the team adheres to QA team requirements and standards in terms of issue validation, workpaper preparation, etc.

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, regulatory reporting, risk management, or technology functions. Possesses at least 3 to 5 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 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.

The expected base salary ranges from $96,000.00 -$140,000.00. 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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