Senior Vice President Capital Markets Internal Auditor

Full Time

Investment Banking Client Job

Office Status: Hybrid (2 days a week in office)

Responsibilities:

  • Lead internal audits assigned to Group or as otherwise directed by IADA management. According to the assignment, this may include leading the execution of all phases (Planning, Fieldwork, Reporting and Follow-up) of assigned audits in compliance with approved policies and procedures, and IADA local standards and regulations
  • Adhere to relevant timing, scheduling, and budgetary requirements.
  • Direct experience auditing the areas below highly preferred: o Derivatives or Futures (including Swaps, Options, Futures Execution and Clearing, Foreign Exchange, Derivative Operations, Structured Credit, Models, Swap Dealer or Futures Commission Merchant Risk Management Programs, Risk Solutions, Counterparty Management) o Knowledge of financial services operations, finance, liquidity, compliance, conduct, financial crime, technology, credit risk, market risk, regulatory reporting, know your customer (KYC) and client onboarding are also beneficial.
  • Lead or perform special audit reviews and other special projects, as needed.
  • Lead and direct audit staff assigned to the Audit Group, evaluate and provide feedback regarding their performance, and manage their continuing professional development.
  • Communicate and escalate as needed, with IADA management and staff, other areas/functions/personnel, external auditors, regulatory examiners and others, as needed, to ensure effective and efficient internal audit coverage of the businesses and functions audited by IADA and/or this Audit Group.
  • Assist in the design, development and implementation of IADA’s Annual Plan and Schedule, and in the preparation and/or presentation during the year of related MIS reports.
  • Cooperate as needed with supervisory authorities, external auditors and other service providers in the conduct of their activities at Mizuho.
  • 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 as may be directed by the General Manager or Deputy General Manager of IADA.
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