AVP - SOX Program

Mizuho Securities Co., Ltd. • New York, NY

438d • $85,000 - $140,000 • Remote

About The Position

The AVP - SOX Program position at Mizuho Americas Finance involves supporting the SOX Program to ensure compliance with the Sarbanes Oxley Act. The role includes planning, coordination, and execution of various initiatives related to internal controls and financial reporting. The candidate will work closely with Business Process Owners to design and maintain SOX documentation and drive enhancements in the SOX framework. This position requires a strong understanding of financial services, audit guidelines, and U.S. GAAP.

Requirements

• BS Degree in Accounting
• CPA certification preferred
• 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 operational and financial audit experience performing audits and/or SOX testing
• Strong communication skills
• Strong time management skills
• Strong MS Office skills, especially in Excel and Word
• Knowledge of Visio required
• IT audit experience also a plus

Nice To Haves

• Experience in Financial Services (Banking, Broker Dealer, or Swap Dealer)
• Understanding of Audit guidelines, U.S. GAAP, and Sarbanes Oxley requirements

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.

Benefits

• Competitive salary range from $85,000.00 - $140,000.00
• Discretionary bonus eligibility
• Generous employee benefits package

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree
• Number of Employees: 1,001-5,000 employees