Vice President, Auditor, Markets and Wealth Services

About the role

The Vice President, Auditor for Markets and Wealth Services Audit team plays a crucial role in delivering complex and challenging global audit assignments, focusing primarily on the Clearing Broker Dealer. This role is based in Jersey City, New Jersey, Lake Mary, Florida, or New York, New York.

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.
• 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.

Qualifications and Capabilities

• 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.
• Deep knowledge of clearing broker-dealer functions and 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, FINRA rules, SEC requirements, and SIPC coverage.
• Understanding of financial market infrastructure, including clearing corporations, trade-reporting systems, and operational-risk domains.
• Able 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.
• 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.

Benefits and Rewards

BNY 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, including paid volunteer time, that can support you and your family through moments that matter.

About BNY Mellon

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans. BNY assesses market data to ensure a competitive compensation package for our employees. 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.

Contact Information

For more information about BNY Mellon and this opportunity, please visit:

• BNY Mellon Website
• BNY Newsroom
• BNY LinkedIn