BNY Mellon Careers

Sr Auditor- Investment Services

Jersey City, New Jersey

Job Description

Performs high quality, risk-focused fieldwork, in accordance with Internal Audit policies, methodologies, and standards in order to identify meaningful issues, risks and other exposures within Investment Services.  Auditor will cover broker-dealer, investment advisor and government clearing businesses primarily, although skills in other financial services or public accounting experience is helpful.  Duties include:
  • Shadowing and deputizing for Auditor lll, in preparation for managing audit projects and conducting more complex audits.
  • Testing financial, operational and other processes as per Audit procedures.
  • Creating and maintaining accurate and clear work documents.
  • Completing tasks efficiently (on time, on budget, and accurately). 
  • Learning business strategies, processes and regulations effectively and quickly and is alert to the changing nature of risk.
  • Communicating well with clients and Audit team members in both verbal and written form. 
  • Engaging in relevant training regarding audit, businesses, financial controls, regulations or a particular specialty. 
  • Appropriately analyzing control environment and developing effective audit steps to test controls where necessary in line with the audit methodology.  Conclude on the level of residual risk. 
  • Identifying opportunities for the use of automation in audit testing. 


Auditors in this role typically work on projects of moderate complexity that would involve significant learning (regulatory environment, business model, processes) on each new assignment.  Must be able to quickly assimilate new information in order to analyze the risks and controls effectively.  Should be able to think creatively as well as take direction. Identify problems that are not consistent with past audits and begin to structure a solution or remedy to address issue(s). Need to display flexible and adaptive problem solving skills due to the variety of operational and technological infrastructures within the Company.    Staff at this level are expected to own sections of the audit program and bring them to completion.  Specific broker-dealer, investment advisor or capital markets experience is preferred, although training will be provided if needed.  Series 7 license is a plus, however, training is provided to obtain such if not already held.   Demonstrate these skills through, for example, thoughtful analysis of business processes and issue identification, as well as discussions with the project leader and auditees.  The individual works closely with an Audit project leader and other Auditors on each project.  Additionally the individual would work closely with clients both in learning the business and testing controls.  This requires both good oral and written communications skills and an ability to be sensitive to the needs of clients and team members.  Must be able to keep sensitive information confidential and know how to use appropriately.  Must be able to determine when to elevate potential audit issues as soon as they are identified to the AIC.   College degree or equivalent expected.  4 year degree in accounting, finance or computer science, although other relevant subjects will be considered.  3 years minimum experience required, with a strong preference for 3-6 years in financial services, broker-dealers, capital markets, or investment management.  Additional certifications (especially Series 7, CIA or CPA) are a big plus.  Training is provided to obtain additional certifications not already held.  
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-New Jersey-Jersey City
Internal Jobcode: 85001
Job: Audit
Organization: Audit Investment Services-HR07985
Requisition Number: 1802511