BNY Mellon Careers

Regulatory SOX Compliance & Controls - Principle

Pittsburgh, Pennsylvania

Job Description

Position Summary: Works with senior and corporate management roles to develop internal controls over regulatory reporting (ICRR) that are sound and effective to ensure compliance with the regulatory SOX-like control framework (SOX-ICRR). Assigned business/business partner areas are large and highly complex. Incumbents demonstrate a breadth of knowledge of regulatory compliance and control, a thorough understanding of SOX-ICRR and specialized understanding of the assigned business/business partner area of control. Has a conceptual understanding of the specific risks that exist within the assigned business/business partner area and how these risks may be addressed. Recognized as the SOX-ICRR point of contact and subject matter expert within the assigned business/business partner areas.   Primary Responsibilities:      ·Leads the execution of the SOX-ICRR assessment program and ensures that the program is sound and effective. Leverages SOX-ICRR compliance techniques to achieve business objectives.      ·Develops internal control & compliance concepts and applies expert knowledge to implement planning, performing, managing and reporting on the evaluation of various business processes.      ·Develops and sustains initiatives to evolve control framework, risk management approaches and operational efficiency. May identify and advise management on existing and potential deficiencies.         ·Uses existing strategic relationships to influence at all levels of the organization. Liaises with other business units to assess control elements associated with new or potential projects. Collaborates with other stakeholders and develops and influences their decisions. Leads work resulting from these decisions. Partners directly with business continuity coordinators to deliver clear recommendations to reduce risk and improve operational control results.      ·Responsible for overseeing the activities of more junior team members and providing guidance to improve their performance. Addresses SOX-ICRR-related issues with more junior team members to ensure they reach an appropriate level of awareness of potential issues and responsibilities. May delegate SOX-ICRR compliance duties to more junior team members.


Bachelor s Degree or the equivalent combination of education and experience is required. 10-12 years of experience in information risk preferred. Experience in public accounting, SOX testing, financial services or shared services is preferred. Certified Public Accountant (CPA) or Chartered Accountant (CA) certification is preferred.

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/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-Pennsylvania-Pittsburgh
Internal Jobcode: 85050
Job: Finance/Accounting
Organization: Finance-HR06599
Requisition Number: 1805465