Operations Auditor VPGroup 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 DescriptionThe 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 assessments, and off-site monitoring of the Group’s portfolio of audits in the preparation of required status, MIS or other reports.
- Cooperate, as needed, with supervisory authorities and external auditors.
- As directed, represent IADA on Committees, sub-Committees, Special Project Teams, Working Groups or Meeting Groups.
- 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 or projects as may be directed by the Group Manager.
Qualifications
- Bachelor’s Degree or equivalent. May also hold an advanced or specialized degree and/or a professional designation (e.g., MBA, CPA, CAMS, CIA, CISA, CFE) or license relevant to the profession.
- Possess at least seven years of relevant work experience in internal or external auditing, supervisory examinations, or their equivalent.
- Demonstrate knowledge and experience in performing back-office operations audits, including reviewing business process controls, transaction processing, reconciliation procedures, records management, and compliance with internal policies and regulatory requirements. Assess the effectiveness of operational workflows, segregation of duties, risk management practices, and governance over key administrative functions, ensuring accuracy, efficiency, and adherence to organizational standards.
- Demonstrate a sound understanding of the financial services industry (i.e., banking, brokerage) and regulatory requirements.
- Demonstrate sufficient knowledge and understanding of internal audit principles, practices and techniques, and the concepts of risk, risk management, internal control and compliance to: (a) execute complex audit assignments and (b) independently identify potential audit matters with understanding of their risk significance.
- Have good audit project (time and task) management skills to successfully manage assigned projects from beginning to end.
- Can analyze problems and interpret, understand and follow instructions without excessive dependence on the Group Manager, and supervise/execute and document work performed in accordance with prescribed standards.
- Have good communication (written and oral) and interpersonal skills to allow the timely and effective execution of assignments. Can initiate and organize effective meetings and discussions with auditees and their management,
- Ensure the timely and correct preparation of related working papers and develop and document related audit findings and recommendations.
The expected base salary ranges from $138,000.00 - $200,000.00. 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.
#LI-Hybrid#LI-NR1
Other requirements
In office attendance is an essential function of this role. There is currently a requirement to be in the office a minimum 50% of the time, or five out of every 10 business days. Specific information about the requirements for your role will be communicated during the recruitment process.
