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Vice President, Sr Auditor II- Investment Management

Company: Bank of New York Mellon
Location: New York
Posted on: September 19, 2023

Job Description:


Bring your ideas. Make history.
BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the "bank of banks" - 97% of the world's top banks work with us as we lead and serve our customers into the new era of digital.

With over 239 years of rich history and industry firsts, BNY Mellon has been built upon our proven ability to evolve, lead, and drive new ideas at every turn. Today, we're approximately 50,000 employees across 35 countries with a culture that empowers you to grow, take risks, experiment and be yourself. This is what #LifeAtBNYMellon is all about.

We're seeking a future team member for the role of Vice President, Senior Auditor II to join our Investment Management Internal Audit team. This role is located in New York, NY or Pittsburgh, PA with a hybrid work arrangement.

In this role, you will make an impact in the following ways:

  • Delivery of complex and challenging audit assignments, including compliance and regulatory related assignments.
  • Lead or participate in the end-to-end planning, fieldwork, and reporting of audit assignments - this will require consideration of complex business processes.
  • 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.
  • Identify and draft meaningful issues impacting the business under review and challenge management to develop appropriate remedial actions to address the issues identified.
  • Elevate potential audit issues to the Audit Manager as soon as they are identified.
  • Follow-up on audit actions to ensure corrective actions have been appropriately implemented and where necessary, test the design, operating effectiveness, and sustainability of implemented actions.
  • Maintain up to date knowledge of industry best practice and regulatory requirements related to Investment Management, including but not limited to, Securities & Exchange Commission (SEC) rules and regulations pertaining to Investment Advisers and Investment Companies, SEC and Financial Industry Regulatory Authority (FINRA) rules and regulations relating to Broker-Dealers, and other regulatory and compliance implications of investment management activities.
  • Build and proactively manage relationships with key stakeholders and participate in Continuous Monitoring activities.
  • Carry out other ad-hoc tasks and projects as directed by audit senior management.
    To be successful in this role, we're seeking the following:
    • Prior experience in Investment Management within Internal Audit, Risk, or Compliance.
    • Understanding of rules and regulations governing the investment management industry, including but not limited to, SEC Investment Advisers Act of 1940, SEC Investment Company Act of 1940, SEC Securities Exchange Act of 1934, and FINRA rules.
    • Bachelor's degree or equivalent combination of education and work experience required.
    • Total work experience of five to seven years.
    • Additional core skill requirements include understanding of the applied and interpretation of analytics results for Audit, critical thinking and problem solving.
    • Excellent communication (written and verbal), analytical, critical thinking, organizational, and problem-solving skills.
    • Strong interpersonal and teamwork skills.
    • Adaptable to change and the challenges of working in a fast-paced environment.
      At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards:
      • Fortune World's Most Admired Companies & Top 20 for Diversity and Inclusion
      • Bloomberg's Gender Equality Index (GEI)
      • Human Rights Campaign Foundation, 100% score Corporate Equality Index
      • Best Places to Work for Disability Inclusion , Disability: IN - 100% score
      • 100 Best Workplaces for Innovators, Fast Company
      • CDP's Climate Change 'A List'
      • Forbes Blockchain 50
        Our Benefits:

        BNY Mellon offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves that can support you and your family through moments that matter.

        BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

        BNY Mellon assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $64,000 and $110,000 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNYM total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs.
        This position is at-will and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.

        Employer Description:

        For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

        EEO Statement:

        BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Keywords: Bank of New York Mellon, New York , Vice President, Sr Auditor II- Investment Management, Executive , New York, New York

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