Group Audit Coverage

Summary

Manage the Group’s portfolio of internal audits, including their design,

scheduling, and all phases of their execution; perform or manage other audit work and projects; coordinate with/assist other IADA Groups as needed; assist the GM and Deputy General Manager in the administrative management of IADA.

JOB DESCRIPTION

Manage or direct the internal audits assigned to Group or as otherwise directed by IADA management. According to the assignment, this may include supervising or executing any or all phases (Planning, Fieldwork, Reporting and Follow-up) of assigned audits in compliance with

approved IAD policies and procedures, and IADA local standards. Adhere to relevant timing, scheduling, and budgetary requirements.

Direct experience auditing one or more of the areas below highly preferred (but not required):

Banking, Capital Markets, or Underwriting (including Equity Capital Markets, Debt Capital Markets, Leveraged Lending, Securitization, Mergers and Acquisitions Advisory, Syndication) Fixed Income / Equity, Sales and Trading or Research (including Corporate Bonds, Securitized Products, Treasury Auctions, Equities, Electronic and Program Trading, Equity Research, Sales, Trading Mandates, Markets Conduct, Volcker Rule) 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)

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.

Coordinate with or assist other IADA Audit Groups, as needed.

Manage or perform special audit work and other special projects, as needed.

Assign and direct audit staff assigned to the Audit Group, evaluate and provide feedback regarding their performance, and manage their continuing professional development.

Act as an ongoing point of contact between IADA and line management responsible for the areas audited by the Audit Group, and remain current and knowledgeable with respect to their business and risk profiles.

Communicate, as needed, with IAD Head Office, other IAD overseas offices, IADA management and staff, other Mizuho 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.

Represent IADA, as directed, on Bank 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 as may be directed by the General Manager or Deputy General Manager

of IADA.

LIST OF CORE COMPETENCIES

Holds a Bachelor’s Degree or equivalent. May also hold an advanced or specialized degree and/or a professional certification (e.g., CPA, CA, CIA, CISA) or license relevant to the profession.

Demonstrates a sound understanding of the financial services industry, and possesses at least 4-5 years of relevant work experience, including experience in a supervisory or management capacity,

in internal auditing or external auditing, supervisory examinations, or their equivalent.

Demonstrates 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 oversee and direct the structuring, planning, scheduling and execution of all phases of internal audits, special projects and other audit work, in a manner consistent with recognized professional standards and with applicable Mizuho/IAD/IADA policies

and procedures.

Demonstrates the ability to effectively direct, guide and supervise all subordinate staff in the execution of the Group’s work, evaluate their performance, and manage their ongoing professional

development.

Demonstrates capacity for effective oral and written communications, with respect to the preparation of required reports and oral communications with audit department and auditee management, audit staff subordinates, external auditors, supervisory authorities, external contractors, and others, as needed. Demonstrates the ability to effectively initiate, plan, organize and

hold meetings and discussions in the conduct of the Group’s or IADA’s business, and to act as a surrogate for the General Manager or Deputy General Manager of IADA, as appropriate.

Demonstrates the capacity for effective project and time management skills, including the ability to prioritize, design and direct multiple tasks/projects, both audits and administrative, to anticipate and meet required deadlines.

Demonstrates ability to effectively support the General Manager and Deputy General manager with respect to the administrative management of IADA, including annual, periodic, ongoing or other

administrative management activities.

Company Overview

Mizuho Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho’s operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at mizuhoamericas.com.

Mizuho Bank Ltd. offers a competitive total rewards package.

We are an EEO/AA Employer - M/F/Disability/Veteran.

We participate in the E-Verify program.

We maintain a drug-free workplace and perform pre-employment substance abuse testing.

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