Mizuho Corporate Bank
AVP - SOX Program
Mizuho Corporate Bank, New York, New York, us, 10261
About the Team:
The SOX Team is a vital component of Mizuho Americas Finance, responsible for ensuring there are adequate controls in place to mitigate the risk of material misstatement of the firm's Financial Statements, including reporting to Head Office. This function is essential for maintaining compliance with the Sarbanes Oxley Act. Team members are expected to work on-site at the Mizuho office two or three days per week, in accordance with Mizuho's H/R remote work policies.
Summary:
In this position, you will support the Mizuho Americas Finance SOX Program, be involved in planning and coordination of various aspects of the Program, support enterprise-wide control design and maintenance, and execute other initiatives. You will report directly to the SOX Lead within the Mizuho Americas Finance Division. Key responsibilities include designing and maintaining various SOX Documentation in partnership with Business Process Owners and updating the Documentation as a result of the various Technology and improvement initiatives, and proactively driving enhancements in the SOX framework. The ideal candidate will possess experience in Financial Services (Banking, and Broker Dealer/Swap Dealer Businesses), and have an understanding of Audit guidelines, U.S. GAAP, and Sarbanes Oxley requirements.
Core Responsibilities:
Assist in all aspects of planning and coordinating the SOX program for Mizuho Americas, LLC and Mizuho Bank, New York Branch Entities.
Lead/Participate in walkthroughs of key business processes.
Prepare status reports on overall program status.
Assess control design for Entity Level and Business Process Level controls.
Update / prepare all SOX documents (Narratives, Risk and Control matrices) in compliance with established guidelines.
Identify, document and report design and/or operating effectiveness deficiencies, evaluate remediation plans and track remediation through completion.
Manage correspondence requests from Mizuho Financial Group including Official Circulars Reports and Application for Approvals.
Provide assistance to EY regarding the internal control testing component of the annual FS audit.
Participate in assessment of SSAE 18 reports for vendor applications.
Qualifications:
BS Degree in Accounting CPA certification preferred.
Financial Services industry audit background preferred (Banking, Broker Dealer or Swap Dealer).
Strong operational and financial audit experience performing audits and/or SOX testing.
4-6 years’ experience with at least 3 years experience in a large CPA firm or an internal audit department of a large financial service firm.
Strong communication skills.
Strong time management skills.
Strong MS Office skills. Must be an expert in Excel and Word. Knowledge of Visio also required.
IT audit experience also a plus.
The expected base salary ranges from $85,000.00 - $140,000.00. 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.
#LI-Hybrid
Other requirements
Mizuho has in place a hybrid working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as local laws and regulatory obligations. Roles in some of our departments have greater in-office requirements that will be communicated to you as part of the recruitment process .
Company Overview
Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.
Mizuho Americas 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 reserve the right to require pre- and post-hire drug testing as permitted by applicable law.
#LI-MIZUHO
The SOX Team is a vital component of Mizuho Americas Finance, responsible for ensuring there are adequate controls in place to mitigate the risk of material misstatement of the firm's Financial Statements, including reporting to Head Office. This function is essential for maintaining compliance with the Sarbanes Oxley Act. Team members are expected to work on-site at the Mizuho office two or three days per week, in accordance with Mizuho's H/R remote work policies.
Summary:
In this position, you will support the Mizuho Americas Finance SOX Program, be involved in planning and coordination of various aspects of the Program, support enterprise-wide control design and maintenance, and execute other initiatives. You will report directly to the SOX Lead within the Mizuho Americas Finance Division. Key responsibilities include designing and maintaining various SOX Documentation in partnership with Business Process Owners and updating the Documentation as a result of the various Technology and improvement initiatives, and proactively driving enhancements in the SOX framework. The ideal candidate will possess experience in Financial Services (Banking, and Broker Dealer/Swap Dealer Businesses), and have an understanding of Audit guidelines, U.S. GAAP, and Sarbanes Oxley requirements.
Core Responsibilities:
Assist in all aspects of planning and coordinating the SOX program for Mizuho Americas, LLC and Mizuho Bank, New York Branch Entities.
Lead/Participate in walkthroughs of key business processes.
Prepare status reports on overall program status.
Assess control design for Entity Level and Business Process Level controls.
Update / prepare all SOX documents (Narratives, Risk and Control matrices) in compliance with established guidelines.
Identify, document and report design and/or operating effectiveness deficiencies, evaluate remediation plans and track remediation through completion.
Manage correspondence requests from Mizuho Financial Group including Official Circulars Reports and Application for Approvals.
Provide assistance to EY regarding the internal control testing component of the annual FS audit.
Participate in assessment of SSAE 18 reports for vendor applications.
Qualifications:
BS Degree in Accounting CPA certification preferred.
Financial Services industry audit background preferred (Banking, Broker Dealer or Swap Dealer).
Strong operational and financial audit experience performing audits and/or SOX testing.
4-6 years’ experience with at least 3 years experience in a large CPA firm or an internal audit department of a large financial service firm.
Strong communication skills.
Strong time management skills.
Strong MS Office skills. Must be an expert in Excel and Word. Knowledge of Visio also required.
IT audit experience also a plus.
The expected base salary ranges from $85,000.00 - $140,000.00. 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.
#LI-Hybrid
Other requirements
Mizuho has in place a hybrid working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as local laws and regulatory obligations. Roles in some of our departments have greater in-office requirements that will be communicated to you as part of the recruitment process .
Company Overview
Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.
Mizuho Americas 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 reserve the right to require pre- and post-hire drug testing as permitted by applicable law.
#LI-MIZUHO