Internal Audit, SOX - Assistant Vice President

Profile Summary

Mizuho operates a Three Lines of Defence approach to risk management with Internal Audit forming the third (and last) line. Internal Audit operates independently to assess the effectiveness of key first and second line control processes.

Within Internal Audit, the SOX Audit team is responsible for effectiveness testing associated with management's assessment of the internal controls over financial reporting.

We are seeking an ambitious SOX tester and/or business process auditor to join our IADE team. The main objective of the role involves evaluating the scope and design of the firm’s internal controls and testing their effectiveness. This is the perfect opportunity for a successful specialist, hybrid (IT and business) or generalist auditor to become a specialist within a growing function.

Duties and Responsibilities

To conduct the effectiveness testing and/or audits of various SOX controls, IT general controls (ITGCs), and business processes, including undertaking the following:

• Conducting risk assessments and evaluation of internal controls to ensure compliance with SOX regulations. Assessing and analysing potential risks within financial processes and systems.
• Working under the supervision and guidance of more senior team members and/or audit leads to support audits covering the firm’s activities. Completing quality assignments to deadlines, and within budget.
• Taking responsibility for and executing assigned testing procedures to assess the effectiveness of internal controls, identifying any relevant deficiencies, drafting audit issues and validating closure requests.
• Completing quality assignments to deadlines, and within budget.
• Supporting comprehensive planning and fieldwork of assignments in line with SOX and internal audit methodologies.
• Documenting findings, preparing work papers, and communicating observations to management.
• Collaborating with wider IADE and cross-functional teams to enable the implementation of corrective actions and improvement of internal controls.
• Actively engaging and maintaining positive relationships with stakeholders.
• Contributing to continuous monitoring (risk impact analysis) and gathering the appropriate data and information.
• Ensuring compliance with internal audit/SOX methodologies, quality standards, as well as legal and regulatory requirements across the region.
• Timely and accurate completion of assigned mandatory training and administrative tasks.
• Supporting IADE’s team objectives and initiatives.

Qualifications, Skills, and Experience 

Experience

• At least 3 years’ work experience in internal audit and/or SOX.
• Knowledge of financial services industry/products is required.
• Knowledge of IT general controls (ITGCs) testing is an advantage.
• Knowledge of data analytics would be preferable.

Qualifications

• Bachelor’s Degree or equivalent.
• Actively studying towards or possession of a professional:
• auditing qualification such as Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA) or equivalent; and/or
• accounting qualification such as ACA, ACCA or equivalent.

Skills

• Effective communication skills at all levels of the business.
• Great organisational and time management skills.
• Strong numerical and analytical skills.
• Demonstrated ability to innovate, support change and solve problems.
• Collaborative nature to contribute to a successful team performance.
• Language skills are an asset, but not essential.

What Mizuho can offer you

Here at Mizuho, there are fantastic progression opportunities and clear paths to promotion. We will give you ample opportunity to affect change and to help grow our business.

In addition to the great opportunity outlined above we are also currently able to offer:

• Competitive starting salary, plus discretionary bonus
• Non-contributory pension
• 27 days’ annual leave
• Core working hours*
• Hybrid working  - office and home based*
• Virtual GP
• Wellbeing benefits, including Mental Health Allies and First Aiders

*For applicable roles only

At Mizuho, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

At Mizuho we are committed to supporting equality, diversity and equality, and seek to create a workplace that is fully inclusive. We welcome applications from all sections of the community that we operate in and from all ethnic backgrounds, sexual orientation, beliefs, gender identities and disabilities.

If you require more information about our equal opportunities policy or wish to discuss any accessibility requirements or reasonable adjustments please contact the recruitment team – recruitment@mizuhoemea.com and we will be happy to help.