BNY Mellon Careers

Group Manager - SOX Compliance and Controls

Manchester, United Kingdom

Job Description

Group Manager - SOX Compliance and Controls


Lead Manager responsible for managing a team of control & compliance staff  that supports senior management’s objectives to ensure compliance with the Sarbanes Oxley Act (SOX) specific to BNY Mellon’s EMEA and APAC operations.  Key responsibilities of the Lead Manager position include:


• Has a thorough understanding of control & compliance concepts including SOX.

• Is accountable for supporting the resolution of complex business risk issues.

• Has a conceptual understanding of the specific risks that exist within the assigned area of responsibility and how these risks may be addressed.

• Identifies areas of potential improvement for key processes and procedures and supports the management of the related processes and procedures.

• Analyzes data pertaining to information systems functions relative to Sarbanes-Oxley compliance.

• Reviews financial reporting, identifies process deficiencies and recommends improvements. Reports test results to top management.

Working with Business

• Supports senior management by helping to drive the SOX assessment program within a business/business partner area, across multiple business/business partner areas and/or across regions..

• Serves as escalation point for SOX issues or roadblocks; shepherds issues through to resolution.

• Consults on issues, questions and problems related to SOX compliance and provides guidance to senior business managers and the control & compliance staff.

• Works across global and regional groups to communicate SOX matters effectively to senior business management.

• Provides subject matter expertise to quantify SOX compliance within the business and enforces adherence to policies, procedures and guidelines.

• Works with other business units and liaises with SOX compliance staff in relation to regulatory matters.

• Appropriately represents SOX compliance with policies and standards to senior management, internal and external auditors and regulatory bodies.

Staff Management

• Manages a team or teams of control & compliance staff responsible for SOX activities for a business area(s) and/or region(s).

• Manages the performance of assigned staff, coaching and guiding on SOX and strategy execution.

• Ensures implementation of the assessment program and the appropriate level of SOX awareness and responsibilities among all junior level staff.

• Tracks and reports on team metrics and results.

• Coaches and guides assigned staff on improving the execution of the SOX activities and achievement of goals.

• Manages staff development and talent management processes.

• Coaches and counsels staff, determines staffing and compensation recommendations and participates in hiring and termination decisions.

• Responsible for the achievement of team goals and objectives, talent management and supervision of control & compliance staff.

• Sets priorities and allocates resources to align with business objectives.




Bachelors degree or the equivalent combination of education and experience is required. proven experience within a similar organisation and within management preferred. Experience in public accounting, SOX testing, financial services or shared services is preferred. certification from one of the following bodies is preferred - ACA/ACCA/CIMA/CPA/CA.

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

Finance helps our internal clients outperform over time. At BNY Mellon, Finance serves our internal clients by providing world-class accounting operations and control and decision support while instituting world-class change management. Global Procurement is responsible for establishing the programs to acquire products and services for BNY Mellon by employing deep category knowledge and commodity expertise, coupled with an understanding of the needs of our businesses and business partner groups. The Corporate Treasury group is responsible for managing the investment portfolios and the liquidity and capital positions of the various subsidiary banks and of BNY Mellon.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater Manchester-Manchester
Job: Finance/Accounting
Internal Jobcode: 85052
Organization: Finance-HR06599
Requisition Number: 1805254