Vice President, Auditor, Markets and Wealth Services

About the role

The role of Vice President, Auditor is located in Jersey City, New Jersey, Lake Mary, Florida or New York, New York. This role is responsible for leading or participating in the delivery of complex and challenging global audit assignments, focusing on the Clearing Broker Dealer. Key responsibilities include driving or participating in all phases of audit project execution, performing walkthroughs with process owners, documenting results, identifying and documenting risks and controls, developing and executing testing strategies, preparing supporting workpapers, documenting test exceptions and conclusions, elevating potential audit issues, identifying and drafting meaningful issues impacting the business, following up on remedial actions, building strong relationships with key stakeholders, engaging in and documenting Continuous Monitoring activities, applying advanced analytical problem-solving skills, contributing technical or specialized skill sets, and maintaining up-to-date knowledge of the industry, best practices, and regulatory requirements.

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.

Requirements

• 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.
• Certified Internal Auditor (CIA) designation or other risk-management certifications preferred.
• 7–10 years of experience in financial services or banking, specifically within Internal Audit or Risk and Compliance Management.
• Technical Expertise in Clearing Broker‑Dealer Operations: Deep knowledge of clearing broker-dealer functions and the full trade lifecycle, including: Execution processes, Clearing operations, Settlement processes, and Custody services.
• Regulatory Knowledge: 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.
• Understanding of Financial Market Infrastructure: Knowledge of the broader market ecosystem in which clearing brokers operate, including: Clearing corporations and depositories, trade-reporting systems, and operational-risk domains.
• Audit-Relevant Technical Competencies: Ability to assess internal controls across clearing operations, custody activities, and trade-lifecycle processes; familiarity with technology and systems architecture commonly used by clearing firms, including trade-processing platforms and reconciliation tools; and understanding of operational-risk areas such as cybersecurity, business continuity, resiliency, and data-integrity expectations.

Qualifications

• 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.

Skills

• Leadership and mentorship skills.
• Technical expertise in Clearing Broker‑Dealer Operations.
• Advanced analytical problem-solving skills.
• Knowledge of regulatory environments and financial market infrastructure.
• Ability to communicate effectively with senior stakeholders.
• Strong organizational and planning skills.

Benefits

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. These benefits include access to flexible global resources and tools for your life’s journey, such as access to health, personal resilience, and financial goals. Additionally, BNY provides generous paid leaves, including paid volunteer time, to support you and your family through moments that matter. BNY is an Equal Employment Opportunity/Affirmative Action Employer, committed to diversity and inclusion.

Pay

The base salary for this position is expected to be between $68,000 and $160,000 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 BNY 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.

Schedule

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.