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BNY · 21 hours ago

Vice President, Auditor, Government Securities Services (GSS) and Clearance and Collateral Management (CCM)

New York, NY

Full-time

Onsite

Mid, Senior Level

$68K/yr - $160K/yr

7+ years exp

BNY is a leading global financial services company at the heart of the global financial system. They are seeking a Vice President, Auditor to lead complex global audit assignments focusing on trade clearing and settlement services, while ensuring compliance with regulatory requirements and maintaining strong stakeholder relationships.

Financial Services

Responsibilities

Lead or participate in the delivery of complex and challenging global audit assignments, with a primary focus on the trade clearing and settlement services

Knowledge and experience in U.S. government securities clearing and tri-party settlement services a plus

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

Draws on extensive experience and/or specialist skills (e.g. technology, advanced operational knowledge, or first or second line experience, etc.) to plan and deliver audits

Applies advanced analytical problem-solving skills and leads others in solving complex issues and identifying innovative solutions

Identifies inconsistencies with the control environment, regulatory requirements and best practices and initiates the development of a structure or solution to address the issue(s)

Qualification

Internal Audit experienceFinancial services knowledgeRegulatory knowledgeAnalytical problem-solvingProject management skillsTeam playerCritical thinkingCommunication skillsLeadershipCollaboration

Required

7 years or more of experience in financial services/ capital markets specifically within Internal Audit or Risk or Compliance/ operational risk control testing

Strong knowledge of financial systems or exposure to larger financial institutions

Excellent team player with effective project management skill

Additional core skill requirements include understanding of the applied and interpretation of analytics results for Audit, critical thinking and problem solving

Deep knowledge of clearing broker‑dealer functions and/or 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, and SEC requirements

Preferred

Degree in Finance or Accounting and/or professional certification like CPA, CFA, CIA preferred

Benefits

Flexible global resources and tools for your life’s journey

Generous paid leaves, including paid volunteer time

Competitive compensation, benefits, and wellbeing programs

Company

BNY

Glassdoor3.6

For more than 240 years BNY has partnered alongside clients, using its expertise and platforms to help them operate more efficiently and accelerate growth.

Founded in 1784

New York, NY, US

10001+ employees