Senior Vice President, SOX Control & Compliance Manager

Lead the SOX and ICFR Program

Lead the end-to-end SOX and ICFR program for assigned business areas, key processes, or legal entities, ensuring execution is aligned to annual regulatory and management timelines.

Direct risk assessments to identify significant accounts, key financial reporting risks, relevant control points, and changes that may impact the SOX and ICFR scope.

Oversee and challenge the quality of process narratives, risk and control matrices, flowcharts, control inventories, and supporting documentation standards across the portfolio.

Review and challenge the design and operating effectiveness assessment of manual, automated, and IT-dependent controls.

Cook up and review audit team’s test workpapers across Test of Design (“TOD”) and Test of Operating Effectiveness (“TO”E), ensuring testing is executed consistently, documentation is complete and audit-ready, and conclusions are supported by sufficient and appropriate evidence.

Assess control deficiencies, support severity evaluation, and drive robust remediation planning in line with internal methodology and regulatory expectations.

Provide senior management reporting on testing outcomes, program health, deficiencies, remediation status, and highlight areas requiring escalation.

Drive simplification, control rationalization, standardisation, and automation initiatives to improve the efficiency and sustainability of the control framework.

Coach and develop junior team members and act as a senior subject matter expert for SOX, ICFR, and financial reporting controls across the broader organization.

Lead continuous monitoring across key SOX program areas, including analysing the Operational risk events (“ORE”), Internal Audit issues, representation letter matters, external audit issues and other control-related themes, to identify emerging risks, perform impact assessment and ensure timely escalation and resolution.

Qualifications

• Bachelor’s degree in Accounting, Finance, Risk Management, Business, or a related discipline.
• Professional qualification such as CA, CPA, ACCA, ACA, CIA, CISA, or equivalent.
• Experience with banking and financial services, financial close/reporting processes, and enterprise control frameworks such as COSO and COBIT.
• Experience leading cross-functional control transformation, rationalization, or automation/ AI initiatives.

Leadership Expectations

• Demonstrates ownership, accountability, and balanced judgment in complex control and stakeholder matters.
• Lets go with a strong risk and controls mindset and sets clear expectations for quality and timeliness.
• Builds trusted relationships across senior stakeholder groups and collaborates effectively across functions and regions.
• Develops team capability through coaching, constructive feedback, and knowledge sharing.
• Promotes a proactive and continuous-improvement culture within the ICFR and SOX programme.

About Us

We’re a leading global financial services company at the heart of the global financial system, influencing nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what is all about.

Join us and be part of something extraordinary.

About The Team

At BNY, our culture speaks for itself, check out the latest BNY news at BNY Newsroom & BNY LinkedIn Here’s a Few Of Our Recent Awards America’s Most Innovative Companies, Fortune, 2025World’s Most Admired Companies, Fortune 2025“Most Just Companies”, Just Capital and CNBC, 2025

Our Benefits And Rewards

• Huge competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy.
• 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, including paid volunteer time, that can support you and your family through moments that matter.
• Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.