Vice President, Auditor, Markets and Wealth Services

Vice President, Auditor, Markets and Wealth Services

At BNY, our culture allows us to run our company better and enables employees' growth and success. As a leading global financial services company at the heart of the global financial system, we influence 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 #LifeAtBNY is all about. Join us and be part of something extraordinary.

We're seeking a future team member for the role of Vice President, Auditor to join our Markets and Wealth Services Audit team. This role is located in Jersey City, New Jersey, Lake Mary, Florida or New York, New York.

• 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 work papers; 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.

• 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.

• Execution processes:
  Order routing, trade capture, and execution mechanics across various asset classes.
• Clearing operations:
  Trade comparison, affirmation, matching, and novation; understanding how clearing brokers mitigate counter party risk and ensure posttrade data accuracy.
• Settlement processes:
  End‑to‑end settlement cycles (e.g., T+1/T+2), including DVP/FOP, settlement instructions, fails management, and corporate‑action processing.
• Custody services:
  Asset safeguarding, custody controls, segregation requirements, reconciliations, asset servicing, and books‑and‑records responsibilities.

• U.S. securities laws and…