Mizuho Americas LLC
InternalAudit-Operations
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“Internal Audit- Operations at Mizuho Americas LLC. Skills: process management, cross-functional coordination, vendor/stakeholder management, operational metrics, resource planning, continuous improvement. Plan, lead, and execute audits of back‑office operations across commercial banking, broker‑dealer, and swap‑dealer entities. Evaluate the adequacy and effectiveness of internal controls, operational processes, and risk management practices within functions such as settlements, payments, reconci”
Industry & Context.
Identify control gaps, operational weaknesses, and opportunities for process develop clear, actionable audit findings and recommendations
What They're Looking For.
Must Have
Bachelor’s degree, Minimum of 7 years of relevant experience in internal or external auditing, regulatory examinations, or a related risk or control function, experience auditing back-office operations, including transaction processing, reconciliations, business process controls, segregation of duties, and operational workflows, Solid understanding of banking and brokerage operations and applicable regulatory requirements, Demonstrated knowledge of internal audit principles, risk management, internal controls, and compliance concepts sufficient to independently execute complex audits and assess risk significance, project management skills, with the ability to manage multiple audits and deadlines concurrently, Proven ability to work independently, exercise sound judgment, and supervise audit staff with limited oversight, Excellent written and verbal communication skills, with the ability to effectively engage senior stakeholders, Detail-oriented, analytical, and collaborative, with a commitment to quality and professionalism
Nice to Have
advanced degree and/or professional certification preferred (e. g. , MBA, CPA, CIA, CISA, CAMS, CFE)
What You'll Do.
and execute audits of back‑office operations across commercial banking
and swap‑dealer entities
Evaluate the adequacy and effectiveness of internal controls
operational processes
and risk management practices within functions such as settlements
and operational risk management
Execute or supervise all phases of assigned audits
in accordance with professional standards and IADA/IAD policies
Identify control gaps
operational weaknesses
and opportunities for process develop clear
actionable audit findings and recommendations
Ensure audit work is completed accurately
and in accordance with established methodologies and timelines
Act as In‑Charge Auditor on assigned engagements
supervising audit staff
and providing timely performance feedback
Maintain ongoing communication with management in audited areas to stay current on business developments
Support continuous monitoring and risk assessment activities for assigned audit areas
Assist the Group Manager with audit planning
and preparation of audit status
and management reports
Support IADA’s Quality Assurance function and comply with all QA directives and review requirements
or firm‑wide initiatives
Perform additional assignments or special projects as directed by audit leadership
How You'll Work.
Team & Collaboration
Coordinate effectively with other IADA teams, business management, technology partners, external auditors, and regulatory examiners, as needed
Communication Scope
Excellent written and verbal communication skills, with the ability to effectively engage senior stakeholders
Process & Methodology
project management skills, with the ability to manage multiple audits and deadlines concurrently
Full Job Description
### **About the Team** ### The Internal Audit Department Americas (IADA) provides independent audit and advisory services to Mizuho Americas LLC and its U.S. subsidiaries and operations (“Mizuho U.S. Operations”), including U.S. banking, broker‑dealer, swap‑dealer, and affiliated international operations. IADA also performs audits of Mizuho offices located in Brazil, Canada, and Mexico. ### IADA’s mission is to act as an independent, objective assurance and consulting function designed to add value and strengthen risk management, governance, and internal controls across the firm. Based in the New York Metro area, IADA operates as part of Mizuho Bank’s global Internal Audit Division, alongside counterparts in London, Hong Kong, and Singapore. ### ### **Key Responsibilities** ### **Audit Execution & Coverage** * ### Plan, lead, and execute audits of back‑office operations across commercial banking, broker‑dealer, and swap‑dealer entities. * ### Evaluate the adequacy and effectiveness of internal controls, operational processes, and risk management practices within functions such as settlements, payments, reconciliations, trade support, records management, and operational risk management. * ### Execute or supervise all phases of assigned audits, including planning, fieldwork, reporting, and follow‑up, in accordance with professional standards and IADA/IAD policies. * ### Identify control gaps, operational weaknesses, and opportunities for process improvement; develop clear, actionable audit findings and recommendations. * ### Ensure audit work is completed accurately, on time, and in accordance with established methodologies and timelines. ### **Leadership & Relationship Management** * ### Act as In‑Charge Auditor on assigned engagements, supervising audit staff, reviewing workpapers, and providing timely performance feedback. * ### Maintain ongoing communication with management in audited areas to stay current on business developments, operational changes, and emergin
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