Quality Assurance - Internal Audit (Finance)

About the Team

The Internal Audit Department Americas (IADA) provides internal audit services to the branches, representative offices and agencies of Mizuho Bank, Ltd. in the Americas, and to Mizuho Bank (USA) and related subsidiaries. IADA's mission is to act as an independent, objective assurance and consulting function, designed to add value and improve Mizuho Bank's U.S. operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York Metro area, IADA staff members perform various audits of different business areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA reports to and composes the overseas arm of MHBK's Internal Audit Division (IAD).

Summary

Vice President supporting IADA by maintaining a robust Quality Assurance (QA) program and help with audit planning and other administrative and management tasks for the IADA group. This individual will execute QA reviews of audit activities, conduct tollgate reviews with audit teams, assist with annual planning, coordinate with Head Office, and assist with various reporting.

Job Description

• Under the direction of the Head of Internal Audit Quality Assurance, assist with maintaining a robust Quality Assurance and Improvement Program. This individual will also assist with IADA group-wide audit planning and perform other IADA administrative and management tasks.
• Perform an annual internal quality assessment to verify audit artifacts and documentation adhere to specific key internal audit policies and procedures. Summarize the results and provide a conclusion of the annual assessment. Document observations and recommendations for any improvement opportunities to address deficiencies noted as a result of the annual review.
• Review and update IADA policies and procedures as necessary, to reflect changes in IADA practices and to ensure they align to current industry and regulatory expectations.
• Periodically deliver department-wide trainings to reinforce existing procedures, introduce newly developed or enhanced procedures, share best practices and communicate improvement opportunities.
• Perform issue validation reviews (design and operating effectiveness testing) for the remediation of key issues (e.g. regulatory, third-party, internal audit)
• Review quarterly continuous monitoring reports and provide feedback to IADA group leadership.
• Review risk assessments and provide feedback to IADA group leadership.
• Assist with IADA group-wide audit planning and administrative tasks including:
  • Gather information from internal and external parties and share information among IADA members/IAD-Head Office;
  • Create various internal reports and submit to key stakeholders and/or governance forums in a timely manner.
• Assist IADA management in satisfying information requests made by supervisory authorities, audit committee members and external auditors.
• Perform other assignments or projects as directed by the Head of Quality Assurance

Qualifications

• 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, corporate and compliance, 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.
• Has knowledge of applicable internal audit regulations, the current regulatory environment and experience with regulatory issue validations.
• Has awareness of and experience with internal audit risk assessments, risk-based audit methodology and training, quality assurance practices, internal controls, and auditing techniques.
• 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 ability to evaluate talent and identify skill gaps and training needs.
• Demonstrates ability to interact directly with senior audit leadership including metrics reporting.

The expected base salary ranges from $120,000.00 -$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.

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