Primarily responsible for overseeing audit execution and managing the audit pipeline. Operates as a team member or independently and has responsibility for specific procedures and results (i.e., head of a project relating to an audit, audit project, or model auditor). Ensures testing (or other tasks as applicable to a specialty) is adequately thorough and accurate to allow an evaluation of the adherence to company policies and procedures, audit methodologies, and all applicable regulations. Identifies existing and emerging risk/ control themes. Contributes to Constructing Universe and development of the annual plan. May manage and develop staff. May begin developing subject matter expertise (SME). Prepares documents and reports that are 'client ready.' Leads testing of operational and other processes as per Audit plans and methodologies. Identifies meaningful issues and tracks fieldwork and emerging issues to completion. Demonstrates understanding of businesses and processes through flowcharting, work papers, analysis, issue identification and discussions with project leaders and auditees on projects of varying complexity. If the role requires a specialism the individual will work on projects of greater complexity that involve significant understanding of the regulatory regimes, business models and processes for each assignment. Leverages advanced business knowledge or experience in order to practice strategic or systemic results. Able to query business clients and colleagues in Audit to understand the underlying processes and procedures necessary to evaluate the control risks. Performs research independently and has adequate knowledge of statistical sampling and risk analysis to perform research with technical accuracy. Engages in Continuous Monitoring activities. Uses knowledge of financial institutions and all applicable regulatory requirements on a day to day basis. Engages in relevant training regarding audit, businesses, financial controls, regulations, or a particular specialty and actively seeks to apply this knowledge in their role and pass it on to the wider audit team. Thinks beyond past routines about new issues or risks. Proficient with using statistical or modeling computing software if applicable. Demonstrates skills through advanced analysis of business processes and issue identification, as well as discussions with the project leader, audit manager, and auditees. Serves as an internal expert on complex Audit topics. Applies a deep understanding of core and advanced concepts in data analytics, relevant technology, the regulatory environment, the financial services industry, project management and business processes and can integrate these concepts into audit processes and leverage them to solve difficult problems. Regularly applies project management methodologies to effectively oversee multiple projects/staff across multiple audits. Uses judgement with regard to issue priority and communication. Develops relationships with the Audit Project Leader and/or audit management, other Audit associates, and clients. Able to clearly explain the audit process to clients (if appropriate), as well as any findings or results. Understands the sensitive nature of confidential information and uses it appropriately. Elevates potential audit issues to the AIC as soon as they are identified. Has demonstrated ability to explain technical/complex issues to non-technical audiences and applies logical, well-constructed arguments to persuade and influence others to adopt a new point of view. Applies advanced analytical problem-solving skills and leads others in solving complex issues and identifying innovative solutions. Develops effective solutions to sophisticated problems involving specialism. In such cases, contributes highly technical or specialized skills sets or business knowledge not readily available elsewhere in the department to solve audit issues. Identifies inconsistencies with the control environment, regulatory requirements and best practices and initiates the development of a structure or solution to address the issue(s). Follows up and validates sustainable resolution of issues on a timely basis. Identifies opportunities for the use of automation and actively takes part in advancing recommendations for software support requests. No direct reports. Demonstrates leadership through work guidance and training of less experienced peers and through advice to assigned clients. Often leads teams on discrete projects, providing informal performance guidance or mentoring to team members. Job scope is limited to the accuracy and quality of incumbent's own work. Contributes to the achievement of team goals. Often has project-level resource responsibilities (e.g., human resources, budgeting, etc.). Modified based upon local regulations/requirements.
Bachelor's degree or equivalent combination of education and work experience required. Degree in Accounting, Finance preferred. 7-10 years of total work experience preferred. MBA, CPA, CFA or related certifications preferred. Prior experience in Audit and any relevant experience in Corporate Functions (e.g. Human Resources, Marketing, Communications, Administrations, and Finance) preferred. Additional core skill requirements include understanding of the applied and interpretation of analytics results for Audit, critical thinking and problem solving.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.
Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Primary Location: United States-New York-New York
Internal Jobcode: 85003
Organization: Audit Enterprise Function-HR07987
Requisition Number: 2006274