Group Audit Coverage Summary

Execute and/or supervise other staff in the execution of specific audits, audit-related activities, and projects of this Audit Group or as otherwise

assigned within IADA. Assist the Group Manager with the administrative control of the Group.

NO.

DETAILS OF JOB DESCRIPTION

1

Supervise or perform selected internal audits, special audit work and other special projects of the Group or as otherwise directed. According to the assignment, this may include supervising or executing any or all phases (Planning, Fieldwork, Reporting and Follow-up) of assigned audits and other projects in compliance with recognized professional standards and with approved IAD/IADA

policies, procedures and standards.

2.

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.

3.

Assist in the understanding and documentation of year over year coverage including the determination of the appropriate sample selection and methods.

4.

Supervise or perform special audit work and other special projects, as needed and/or on your own

initiative.

5.

As an In-Charge Auditor, supervise and evaluate the performance of assigned audit staff, and provide feedback to these staff members and the Group Manager.

6.

Assist the Group Manager in maintaining ongoing communications between IADA and line

management responsible for the areas audited by the Group, and remain current on the business and risk profiles of these areas.

7.

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 the Group.

8.

Assist the Group Manager with risk assessments and off-site monitoring of the Group’s portfolio of audits, in the preparation of required status, MIS or other reports.

9.

Cooperate, as needed, with supervisory authorities, external auditors and other service providers in

the conduct of their activities at Mizuho.

10.

As directed, represent IADA on Committees, sub-Committees, Special Project Teams, Working Groups or Meeting Groups.

11.

Cooperate fully with directives and requests from IADA’s Quality Assurance Support, and promote the ongoing effectiveness of IADA’s Quality Assurance function.

12.

Perform other assignments as may be directed by the General Manager or Deputy General Manager

of IADA.

NO.

CORE COMPETENCIES FOR POSITION

1.

Holds a Bachelors 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.

2.

Demonstrates a sound understanding of the financial services industry, and possesses at least six

years of relevant work experience, including experience in a supervisory or management capacity, in internal auditing or external auditing, supervisory examinations, or their equivalent.

3.

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.

4.

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.

5.

Demonstrates the capacity for effective oral and written communication, with respect to the preparation of required reports and oral communication with the audit department and auditee

management, audit staff members, external auditors, supervisory authorities, external contractors, and others, as needed.

6.

Demonstrates how to apply the diversity of knowledge and experience gained in the audit profession to build and maintain relationships with internal and external parties. Utilize these relationships to serve as liaison between the internal audit staff and the business line, where appropriate, to support the Department.

7.

Demonstrates the capacity for effective project and time management skills, including the ability to

prioritize, design and direct multiple tasks/projects, both audit and administrative, to anticipate and meet required deadlines.

8.

Demonstrate the ability to assist in the managerial role of the Group Head during times when the Group Head is performing other administrative matters or when asked.

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.

#LI-MIZUHO