Internal Audit - Equities

Summary

Manage and maintain a robust audit program of Mizuho's Equity & Research activities, including leading and delivering the timely execution of audits and special projects specific to equity & research. Contribute to the group's strategic planning, process innovation, project management and talent development.

This role is hybrid and based in our New York City Office.

Job Description

• Under the direction of the Director, maintain a robust audit program including overall management and/or leading the timely execution of audit planning, fieldwork, reporting and other administrative and management tasks pertaining to equity & research.
  
• Direct experience auditing one or more of the areas below highly preferred (but not required): equity, sales and trading or research (including equities, electronic and program trading, equity research, sales, trading mandates, markets conduct, swap dealer and security-based swap dealer as well as Volcker rule).

• 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, equity & research, risk management, or technology functions. Possesses at least 7 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 all 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.
  
• Demonstrates ability to interact directly with supervisory authorities, audit committees, and senior audit leadership including metrics reporting to such parties.
  
• Demonstrates ability to effectively support the team's Director and Managing Director with respect to the administrative management of IAD.