Vice President, Sr Auditor II- Investment Management
Company: Bank of New York Mellon
Location: New York
Posted on: September 19, 2023
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
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
- 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
- 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
- Build and proactively manage relationships with key
stakeholders and participate in Continuous Monitoring
- Carry out other ad-hoc tasks and projects as directed by audit
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
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
- Bloomberg's Gender Equality Index (GEI)
- Human Rights Campaign Foundation, 100% score Corporate Equality
- Best Places to Work for Disability Inclusion , Disability: IN -
- 100 Best Workplaces for Innovators, Fast Company
- CDP's Climate Change 'A List'
- Forbes Blockchain 50
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
BNY Mellon is an Equal Employment Opportunity/Affirmative Action
Employer - Underrepresented racial and ethnic
groups/Females/Individuals with Disabilities/Protected
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
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.
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: bnymellon.com/careers.
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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