BNY · 9 hours ago
Vice President, Auditor, Markets and Wealth Services
One Pershing Plaza, Jersey City, NJ, 07399, US
Full-time
Onsite
Mid, Senior Level
$68K/yr - $160K/yr
7+ years expBNY is a leading global financial services company at the heart of the global financial system, influencing nearly 20% of the world’s investible assets. They are seeking a Vice President, Auditor for their Markets and Wealth Services Audit team to lead complex global audit assignments and ensure effective risk management and compliance.
Financial Services
Responsibilities
Lead or participate in the delivery of complex and challenging global audit assignments, with a primary focus on the Clearing Broker Dealer
Drive or participate in all phases of audit project execution including planning, fieldwork, and reporting in accordance with audit methodologies
Perform walkthroughs with process owners; document results in narratives/flowcharts; identify and document risks and controls; develop and execute testing strategy; prepare supporting workpapers; and document test exceptions and conclusions
Elevate potential audit issues to the Audit Manager and business management as soon as they are identified
Identify and draft meaningful issues impacting the business under review and challenge management to develop appropriate remedial actions to address the issues identified
Follow-up on remedial actions to ensure corrective actions have been appropriately implemented and where necessary, test the design, operating effectiveness, and sustainability of implemented actions
Build strong relationships with key stakeholders in the business and risk management areas and with colleagues throughout the global Internal Audit team
Engage in and document Continuous Monitoring activities to identify new or changing risk conditions for the covered businesses
Apply advanced analytical problem-solving skills and assist others in solving complex issues and identifying innovative solutions
Contribute technical or specialized skill sets or business knowledge not readily available elsewhere in the department to solve audit issues
Identifies opportunities for the use of AI/automation and actively participate in advancing recommendations for software support requests
Maintain up-to-date knowledge of the industry, best practice and regulatory requirements
No direct reports. Demonstrate leadership through work guidance and training of less experienced peers and through advice to assigned clients
Contribute to the overall achievement of team goals
Carry out other ad-hoc tasks and projects as directed by audit management
Qualification
Required
Bachelor's degree or an equivalent combination of education and relevant work experience
Degree in Accounting, Finance, or another discipline requiring strong analytical and critical‑thinking skills
7–10 years of experience in financial services or banking, specifically within Internal Audit or Risk and Compliance Management
Deep knowledge of clearing broker‑dealer functions and the full trade lifecycle, including execution processes, clearing operations, settlement processes, and custody services
Strong working knowledge of the regulatory environment governing financial services, including U.S. securities laws and regulatory structure, FINRA rules applicable to broker‑dealers, SEC requirements, and regulations specific to clearing activities
Knowledge of the broader market ecosystem in which clearing brokers operate, including clearing corporations and depositories, trade‑reporting systems, and operational‑risk domains
Ability to assess internal controls across clearing operations, custody activities, and trade‑lifecycle processes
Understanding of technology and systems architecture commonly used by clearing firms
Strong written and verbal communication skills, with the ability to influence senior stakeholders
Solid understanding of risk‑management and control frameworks
Self‑sufficiency, initiative, and a proactive mindset
Excellent planning, coordination, organizational, and presentation abilities
Ability to thrive in a fast‑paced environment and adapt effectively as part of a team
Proficiency in Excel and other Microsoft applications, including PowerPoint, Word, Visio, and Power BI
Strong analytical skills, including the ability to interpret and apply analytics results in an audit context, along with critical‑thinking and problem‑solving capabilities
End to End general banking/finance knowledge
Preferred
Certified Internal Auditor (CIA) designation or other risk‑management certifications preferred
Benefits
Flexible global resources and tools for your life’s journey
Focus on your health
Foster your personal resilience
Reach your financial goals
Generous paid leaves
Paid volunteer time
Company
BNY
For more than 240 years BNY has partnered alongside clients, using its expertise and platforms to help them operate more efficiently and accelerate growth.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Brian A. Ruane
CEO Government Securities Services & Global Client Management
Chris Kearns
CEO, Depositary Receipts
Recent News
PR Newswire
2024-11-01
Company data provided by crunchbase